Search for: "In Re Securities and Exchange Commission"
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6 Feb 2015, 8:30 am
As reporter Lisa Rein describes the results in the Washington Post, those that did well included Homeland Security (I know; I can’t believe it either), the Social Security Administration, and the Securities and Exchange Commission. [read post]
3 Feb 2015, 3:58 am
Here’s the WSJ’s opening paragraph: The Securities and Exchange Commission would see its funding levels rise about $200 million to $1.7 billion under the White House’s 2016 budget blueprint, according to people familiar with the matter. [read post]
26 Jan 2015, 10:42 am
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
23 Jan 2015, 8:17 am
Prior to that, securities-fraud lawsuits under Sections 10(b) and 20(a) of the Securities Exchange Act were filed by shareholders of Heartland Payment Systems, Inc. [read post]
21 Jan 2015, 1:16 pm
Answer: By: Jessica Linehan, Joel O’Malley, and Brian Rosenau A recent Seventh Circuit decision provides a cautionary tale for employers deciding what level of detail about litigated matters to include in publicly disclosed Securities and Exchange Commission (“SEC”) filings. [read post]
21 Jan 2015, 3:21 am
Imagine that you're broke and can't afford a fabulous but high-priced regulatory lawyer like me and you need to submit a brief in response to some absolutely outrageous allegations made against you by the Securities and Exchange Commission ("SEC"). [read post]
20 Jan 2015, 4:20 pm
The Securities and Exchange Commission (SEC) has opened an investigation of GAW Miners and its CEO Josh Garza, according to CoinFire, a Bitcoin news site, which on Tuesday cited “1,000 pages of a [leaked] investigation file. [read post]
6 Jan 2015, 4:14 am
As noted here, the company is already the target of a Federal Trade Commission enforcement action in connection with the breaches. [read post]
5 Jan 2015, 3:31 pm
Annual Re-Certification of CFTC Exemptions. [read post]
19 Dec 2014, 6:00 am
If you do decide to exchange dolls, we'd suggest you exchange paperwork confirming the terms of the resolution. [read post]
18 Dec 2014, 8:32 am
However, in January, 2013, the compounding pharmacy filed a letter with the Securities and Exchange Commission claiming its cleaning company should share responsibility for the outbreak. [read post]
17 Dec 2014, 8:07 am
A similarly popular bill, the Email Privacy Act (H.R. 1852) to update ECPA, gained 272 co-sponsors this year but was never awarded floor time because one federal agency, the Securities and Exchange Commission, worked to keep the bill from coming to fruition. [read post]
15 Dec 2014, 4:15 am
Here’s what it says: Examiners at the Securities and Exchange Commission, as we explained this weekend, spend some of their time catching typos, demanding better punctuation and asking companies to rephrase impenetrable parts of official filings. [read post]
11 Dec 2014, 2:00 pm
Kalamazoo County Road Commission v. [read post]
9 Dec 2014, 1:35 pm
” In terms of impact, Walker also named the Securities and Exchange Commission’s issuance of a subpoena to the House Ways and Means Committee and a committee staffer, seeking evidence relating to an insider trading investigation. [read post]
7 Dec 2014, 2:53 pm
Specifically, when the investment company got its start, it asked the Securities and Exchange Commission (SEC) to issue an exemptive order, approving its “joint participation” arrangement (SEC order downloads as a pdf). [read post]
1 Dec 2014, 11:02 am
We have scored the exchanges as to how likely they will bridge the gap! [read post]
25 Nov 2014, 12:31 pm
Securities and Exchange Commission, 748 F.3d 359 (D.C. [read post]
23 Nov 2014, 12:00 am
Securities and Exchange Commission, http://www.sec.gov/about/laws.shtml [vi]United States v. [read post]
18 Nov 2014, 11:16 am
” Id.As discussed in more detail in the FDA Law Blog post, Whitman was not an FDCA case at all but rather a Rule 10-b-5 criminal prosecution by the Securities & Exchange Commission. [read post]
