Search for: "In Re Securities and Exchange Commission"
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4 Jul 2023, 12:05 pm
This exchange between Rep. [read post]
25 Apr 2012, 10:52 pm
McCarthy introduced their proposal in response to a Securities and Exchange Commission (SEC) study that revealed the agency lacks resources to adequately examine the nation’s nearly 12,000 registered advisers. [read post]
7 Jan 2021, 2:47 pm
Securities and Exchange Commission. [read post]
24 Mar 2018, 1:00 am
The Securities and Exchange Commission should now take the lead on a clear consistent and workable standard that does not limit choice for investors. [read post]
7 Aug 2024, 1:29 pm
The Legal Burden While the FTC has not yet filed its complaint, the interim report did outline potential antitrust violations, as did the commission’s June 2022 policy statement on “rebates and fees for excluding lower cost drug products. [read post]
24 Mar 2023, 6:07 am
The outcome of the events described in these forward-looking statements is subject to known and unknown risks and uncertainties, including (i) our ability to continue the development of Cecilia and integrate Cecilia into our broader product suite; (ii) the laws and regulations that currently apply or become applicable to our business in the jurisdictions in which we operate; and (iii) the product offerings of competitors and new market entrants, as well as the risks facing DISCO that are described… [read post]
9 Oct 2019, 6:43 am
For example, some financial professionals may improperly recommend that a customer switch or trade variable annuities in order to generate a commission. [read post]
29 Dec 2009, 10:56 am
Congress Should Rewrite the Securities Exchange Act of 1934 94 Accounting and Administrative Law Aspects of Gerstle v. [read post]
18 Oct 2012, 9:20 am
(It should be noted that the Ontario Securities Commission indicated in Staff Notice 54-701 Regulatory Developments Regarding Shareholder Democracy Issues, in January of 2011, that it was considering a number of related issues, including amending securities laws to require individual voting and majority voting for directors). [read post]
7 Jun 2022, 3:29 am
May 12, 2022 – Secondary Sales Price $5.00 per share According to Central Trade and Transfer, a secondary market for non-traded REITs, shares of Mobile Infrastructure Corp. are currently listed to sell for just $5.00 per share, indicating big losses for investors.Parking REIT Exec Charged with Fraud As we previously reported, the Securities and Exchange Commission on July 30, charged an executive of the Parking REIT, and his wholly owned… [read post]
15 Dec 2022, 8:00 am
., holding that LBRY offered a crypto asset in violation of the registration provisions of federal securities laws. [read post]
15 Dec 2022, 4:00 am
., holding that LBRY offered a crypto asset in violation of the registration provisions of federal securities laws. [read post]
15 Jul 2014, 10:35 am
Neither of these options is available to fill leadership positions in new agencies or within independent agencies and commissions, like (among others) the National Labor Relations Board, the Federal Election Commission, or the Securities and Exchange Commission. [read post]
15 Jul 2017, 6:16 am
So I will instead re-hash old blog posts on this issue with — when necessary updated information. [read post]
13 Jun 2024, 12:55 pm
With just a few weeks left before the Supreme Court’s summer recess, we’re entering the busiest phase of the year for relists. [read post]
22 Apr 2024, 1:35 am
If you’re a high earner, however, pass-through taxation could result in you leaving tax savings on the table. [read post]
5 Apr 2023, 5:24 pm
The judge wrote, in part:Although, as [the IRS] argues, the chances of a successful lawsuit against Conway Twitty by any of the investors or the Securities and Exchange Commission was remote we agree with [Twitty] that the possibility of extensive adverse publicity concerning [his] involvement with the defunct corporation and the consequent loss of the investors' funds was very real. [read post]
20 Feb 2014, 12:32 pm
The Securities and Exchange Commission regulates larger investment advisers under the Investment Advisers Act of 1940 (the “Act”). [read post]
26 Jun 2015, 8:44 am
Securities and Exchange Commission accused Cuban of insider trading when he sold his stock in Mamma.com after learning that the company would soon be privately offering shares. [read post]
16 Aug 2019, 10:12 am
In this sense, self-determination has complicated a number of practices that were once historically commonplace—including the exchange of populated territories between states. [read post]
