Search for: "In Re Securities and Exchange Commission"
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24 Nov 2015, 1:21 pm
Dax White is the managing partner of the White Law Group, a national securities fraud, securities arbitration and investor protection law firm with at offices in Chicago, Illinois and Vero Beach, Florida. [read post]
24 Nov 2015, 11:36 am
A separate Securities and Exchange Commission case alleging securities fraud is pending before U.S. [read post]
23 Nov 2015, 3:15 pm
Under these requirements, a prospective exchange must file with the Securities and Exchange Commission (“SEC”) its “rules of the exchange” designed to allow the exchange to regulate the conduct of its members so as to protect investors and the public interest. [read post]
18 Nov 2015, 11:59 pm
. ********************************** The regulatory environment for SEC-registered advisers has become more complex as the result of a more aggressive and interconnected Securities and Exchange Commission (SEC). [read post]
16 Nov 2015, 3:58 pm
In a long-awaited move, on October 30, 2015 the Securities Exchange Commission (SEC) finally adopted a set of rules mandated by the 2012 JOBS act. [read post]
16 Nov 2015, 5:35 am
Blankenship is charged with lying to investors and securities officials about Massey’s safety record, and conspiring to violate federal mine safety laws. [read post]
15 Nov 2015, 2:53 pm
These bills propose to modify the Securities Exchange Act of 1934 to require mandatory disclosure requirements for “covered issuers,” which includes those that have annual worldwide global receipts in excess of $100 million. [read post]
5 Nov 2015, 9:49 pm
Securities and Exchange Commission (SEC) released its final rule on crowdfunding—a largely online-based process of funding projects through numerous donors—that authorizes companies to use crowdfunding to issue securities, and broadens the group of eligible investors for these types of transactions. [read post]
5 Nov 2015, 11:39 am
Federal Communications Commission for addressing the dire state of security in consumer-level routers by a panel of 260 cybersecurity experts. [read post]
5 Nov 2015, 8:43 am
The findings stated that the mismarked order tickets involved leveraged and inverse exchange-traded funds (ETFs). [read post]
2 Nov 2015, 2:29 pm
This involves the temporary exchange of assets as collateral for a funding transaction. [read post]
30 Oct 2015, 4:54 am
Federal Communications Commission. [read post]
19 Oct 2015, 5:00 am
MF Global, Inc. was a futures commission merchant (FCM) that accepted deposits from customers to trade commodity futures. [read post]
12 Oct 2015, 3:25 pm
The court in Schrems v Data Protection Commissioner [2014] IEHC 310 (18 June 2014), questioned whether the Directive and the EU Commissioner’s Decision needed to be re-evaluated in the light of the EU Charter of Fundamental Rights and whether the Commissioner could look beyond or otherwise disregard the Community finding. [read post]
7 Oct 2015, 4:46 pm
July 10, 2013) (holding attorney-client privilege and work-product protection were waived where company voluntarily provided to the Securities Exchange Commission the content of interview notes and summaries prepared by counsel); but see SEC v. [read post]
5 Oct 2015, 1:00 am
In the Supreme Court, I’ll take Kennedy (Kennedy v The Charities Commission [2014] UKSC 20) for several reasons. [read post]
30 Sep 2015, 5:00 am
Strong rulemaking is central to the mission of the Securities and Exchange Commission. [read post]
28 Sep 2015, 2:10 pm
The FLSA requires that covered, non-exempt employees be paid at least the federal minimum wage of $7.25 per hour for all hours worked, plus time and one-half their regular rates, including commissions, bonuses and incentive pay, for hours worked beyond 40 per week. [read post]
28 Sep 2015, 3:48 am
Securities and Exchange Commission v. [read post]
24 Sep 2015, 8:35 am
The Securities and Exchange Commission (SEC) is investigating Bonan and Nan Huang for insider trading. [read post]
