Search for: "August v. DIRECTOR OF THE DIVISION OF EMPLOYMENT SEC."
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14 Apr 2024, 4:46 pm
" The Director of the SEC's Division of Enforcement, Gurbir S. [read post]
3 Oct 2023, 9:01 pm
July 3, 2023, settled) SEC v. [read post]
13 Aug 2018, 9:49 am
(Christopher Rollins v. [read post]
6 Dec 2017, 3:00 am
Whistleblowers: Supreme Court Hears Argument on Internal Whistleblower Issue Last week, the Supreme Court heard oral arguments in Somers v. [read post]
7 Apr 2015, 2:13 pm
Ceresney, Director of the SEC’s Division of Enforcement. [read post]
23 Feb 2016, 7:36 am
She also surveyed the landscape of district court decisions post-Newman, including the United States District Court’s decision in SEC v. [read post]
22 Jul 2020, 3:07 pm
Now, under the SEC whistleblower program, compliance personnel, including auditors, officers, and directors, can submit tips anonymously to the SEC (if represented by counsel) and, in certain circumstances, be eligible for awards. [read post]
16 Jun 2016, 2:48 pm
Cybersecurity at SEC-registered entities like Morgan Stanley has become a top priority for the SEC inspections group and enforcement division. [read post]
15 Aug 2011, 2:32 am
The new regulation takes effect on August 29, 2011 and those companies which do not fall within the new family office definition will be required to register with the SEC by March 30, 2012. [read post]
8 Aug 2018, 6:53 am
In Lucia, the Court reiterated this holding, which was good enough for the Board here, and it dismissed the employer’s challenge to the complaint (WestRock Services, Inc., August 6, 2018). [read post]
29 Apr 2019, 7:21 am
Assn. v. [read post]
3 Jan 2023, 1:47 pm
The directors’ and officers’ liability environment is always changing, but 2022 was a particularly eventful year, with important consequences for the D&O insurance marketplace. [read post]
15 Sep 2011, 8:44 am
Business Roundtable v. [read post]
3 Jan 2022, 12:39 pm
And in 20 of the 31 SPAC-related suits (61.7%) the defendants named in the complaint included not only the post-merger company and certain of its officers and directors, but also former directors and officers of the SPAC itself. [read post]
9 Oct 2023, 6:32 am
On August 25, 2023, two SEC compliance and disclosure interpretations (“C&DI”) were issued related to these quarterly disclosures.[1] C&DI 133A.01 states that Item 408(a)(1) of Regulation S-K does not require disclosure of termination of a plan that ends due to expiration or completion of the plan in accordance with its terms, without any action by an individual. [read post]
9 Oct 2023, 6:32 am
On August 25, 2023, two SEC compliance and disclosure interpretations (“C&DI”) were issued related to these quarterly disclosures.[1] C&DI 133A.01 states that Item 408(a)(1) of Regulation S-K does not require disclosure of termination of a plan that ends due to expiration or completion of the plan in accordance with its terms, without any action by an individual. [read post]
16 Mar 2020, 1:54 pm
E.g., SEC v. [read post]
2 Jan 2024, 12:56 pm
On August 21, 2023, S&P also took actions similar to those of Moody’s, downgrading or cutting the ratings on a host of banks, for similar reasons. [read post]
2 Jul 2014, 7:19 am
HHS argued that the RFRA was intended to restore the state of the law as it existed before Employment Division, Dept. of Human Resources of Oregon v Smith, 494 U.S. 872 (1990). [read post]
2 Jan 2018, 5:08 pm
The world of directors’ and officers’ liability is always dynamic, but 2017 was a particularly eventful year in the D&O liability arena. [read post]
