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Protecting Main Street Investors: Regulation Best Interest and the Investment Adviser Fiduciary Duty
9 Jul 2019, 9:05 am
Securities and Exchange Commission. [read post]
16 Feb 2021, 1:22 pm
In January 2021, the Securities and Exchange Commission (SEC) filed a complaint against Eric C. [read post]
13 Mar 2013, 2:46 pm
Today, the Solicitor General filed a motion asking the Supreme Court to dismiss the Securities and Exchange Commission’s petition for a writ of certiorari in SEC v. [read post]
6 Apr 2010, 5:42 pm
The US Supreme Court says it will not review the decision by a federal appeals court affirming the US Securities and Exchange Commission’s decision to bar investment adviser David Disraeli from the securities industry. [read post]
26 Jan 2023, 6:30 am
On Dec. 14, 2022, the Securities and Exchange Commission (the “SEC”) adopted amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 (the “Exchange Act”), that include, among other things, changes to Rule 10b5-1(c)(1)’s affirmative defense to insider trading liability under Section 10(b) and Rule 10b-5 under the Exchange Act. [read post]
26 Jan 2023, 6:30 am
On Dec. 14, 2022, the Securities and Exchange Commission (the “SEC”) adopted amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 (the “Exchange Act”), that include, among other things, changes to Rule 10b5-1(c)(1)’s affirmative defense to insider trading liability under Section 10(b) and Rule 10b-5 under the Exchange Act. [read post]
26 Nov 2018, 10:47 am
Among other things, Exchange Act Section 10, Securities Act Section 17, and the Securities and Exchange Commission’s Rule 10b-5 subject those statements to sanction either by the SEC or by private parties. [read post]
19 Dec 2018, 6:01 am
Securities and Exchange Commission (Docket No. 17-1077), a case that considers the potential liability for a false statement that is not “made” by a person under the now-familiar standard articulated in the Supreme Court’s 2011 decision in Janus Capital Group, Inc. v. [read post]
16 Dec 2024, 9:03 pm
True, there are instances in which the broker under scrutiny might also be also under investigation by the US Securities and Exchange Commission (SEC) over the same or similar allegations of wrongdoing. [read post]
6 Aug 2009, 5:08 am
Attorney Dan Hurson used to work for the Securities and Exchange Commission (SEC). [read post]
1 Feb 2008, 7:37 am
Well, that's it, there are no longer any Democrats on the Securities and Exchange Commission. [read post]
30 Jul 2010, 3:14 am
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
2 Jul 2024, 6:32 am
Securities and Exchange Commission. [read post]
2 Jul 2024, 6:32 am
Securities and Exchange Commission. [read post]
6 Sep 2011, 6:00 am
Public companies and companies registering to go public should be aware of recent fee rate adjustments made by the Securities and Exchange Commission. [read post]
23 Jul 2012, 10:53 am
The Securities and Exchange Commission recently charged the U.S. investment banking subsidiary of Japan-based Mizuho Financial Group and three former employees with misleading investors in a collateralized debt obligation (CDO) by using “dummy assets” to inflate the deal’s credit ratings. [read post]
23 Jul 2012, 10:53 am
The Securities and Exchange Commission recently charged the U.S. investment banking subsidiary of Japan-based Mizuho Financial Group and three former employees with misleading investors in a collateralized debt obligation (CDO) by using “dummy assets” to inflate the deal’s credit ratings. [read post]
14 Jul 2018, 7:11 am
In contrast, the American development of securities law is driven by the federal Securities and Exchange Commission (SEC), with state regulators taking a secondary role. [read post]
25 Feb 2015, 6:02 am
Securities and Exchange Commission. [read post]
21 Jul 2020, 10:43 am
On June 22, 2020, Assistant Attorney General Makan Delrahim, head of the Antitrust Division at the Department of Justice, and Jay Clayton, Chairman of the Securities and Exchange Commission, signed a Memorandum of Understanding (“MOU”) concerning “Cooperation with Respect to Promoting Competitive Conditions in the Securities Industry. [read post]
