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13 Feb 2023, 9:05 pm
Supreme Court’s securities jurisprudence starting with the inception of the federal securities laws and founding of the U.S. [read post]
8 Aug 2023, 6:39 am
These follow-on civil actions represent something of a translation of an antitrust matter into a securities lawsuit. [read post]
21 Nov 2024, 10:47 am
The Securities Lawsuit On November 20, 2024, a plaintiff shareholder filed a securities class action lawsuit in the Northern District of California against Visa and certain of its executives. [read post]
5 Sep 2011, 11:02 am
There are serious security risks involved with most social sites that can be avoided by following some very simple rules. [read post]
18 Jul 2018, 12:52 pm
The post Substance Abuse and Social Security Disability Benefits in California appeared first on Fresno Social Security Disability Attorneys Blog. [read post]
28 Jan 2022, 3:50 am
NIST Updates Security Control Assessment Procedures appeared first on ComplexDiscovery. [read post]
9 Apr 2010, 7:34 am
The traditional one is that convertible securities are a form of insurance, and insured institutions are likely to take risks. [read post]
29 Sep 2016, 5:28 am
SEC Release No. 34-78962 has been issued and states in part the following: The Securities and Exchange Commission (“Commission”) proposes to amend Rule 15c6-1(a) under the Securities Exchange Act of 1934 (“Exchange Act”) to shorten the standard settlement cycle for... [read post]
13 Oct 2011, 5:17 am
The SEC voted to propose rules that lay out the process by which security-based swap dealers and security-based swap participants must register with the Commission under Title VII of the Dodd-Frank Act. [read post]
17 Jul 2014, 2:00 pm
Richard Zhe Wang and Menghistu Sallehu have posted The Hidden Message in AFS Securities of US Banks on SSRN with the following abstract: We examine US banks’ use of available-for-sale (“AFS”) securities to smooth their earnings during the most recent... [read post]
2 Feb 2011, 2:33 pm
Dodd-Frank authorized the SEC to implement a regulatory framework for security-based swaps, which... [read post]
18 Nov 2009, 11:54 am
NASAA today announced another settlement (in principle) with a securities firm over its sales of auction rate securities (ARS). [read post]
3 Nov 2010, 12:51 pm
The SEC today voted unanimously to propose a new rule to help prevent fraud, manipulation, and deception in connection with security-based swaps, pursuant to its authority under Dodd-Frank to regulate security-based swaps. [read post]
26 Nov 2010, 2:02 pm
Kaufman Memorial Securities Law Moot Court Competition, which will take place in NYC March 25-27, 2011. [read post]
8 Dec 2009, 1:28 pm
The SEC today charged Brookstreet Securities Corp. and its President and CEO Stanley C. [read post]
29 Aug 2012, 12:57 pm
Citigroup and plaintiffs have agreed to settle for $590 million a securities fraud class action lawsuit that alleged that officers and directors "concealed the company's failure to write down impaired securities containing subprime debt" when it became apparent that the... [read post]
23 Mar 2009, 12:32 pm
The hearing, led by Committee Chairman Barney Frank (D-MA), brought together federal and state securities regulators... [read post]
10 Nov 2009, 1:18 pm
Levy, the former chief financial officer of New York-based hedge fund Boston Provident LP, with securities fraud for arranging secret sales of securities from his personal trading account to the hedge fund accounts at inflated... [read post]
12 Apr 2011, 11:57 am
FINRA announced that it fined Santander Securities of Puerto Rico $2 million for deficiencies in its structured product business, including unsuitable sales of reverse convertible securities to retail customers, inadequate supervision of sales of structured products, inadequate supervision of accounts... [read post]
27 Jun 2017, 12:27 pm
ANZ Securities, Inc., the Supreme Court of the United States has held that the three year limitation period applicable to Securities Act Section 11 claims cannot be extended or tolled based upon the... [read post]
