Search for: "Fee (michael J.) v. Securities and Exchange Commission"
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11 Jan 2011, 10:27 am
See Michael Frederick Siegel, Securities Exchange Act Release No. 58737, 2008 SEC LEXIS 2459, at *21 (October 6, 2008) (explaining that whether a communication “constitutes a recommendation is a ‘facts and circumstances inquiry to be conducted on a case-by-case basis’”), aff’d in relevant part, 592 F.3d 147 (D.C. [read post]
4 Nov 2022, 6:30 am
Securities and Exchange Commission, on Monday, October 31, 2022 Tags: Investment advisers, Investment Advisers Act, legal framework, regulation, SEC, SEC enforcement Lessons from Twitter v. [read post]
10 Jan 2020, 6:10 am
Securities and Exchange Commission, on Thursday, January 9, 2020 Tags: Disclosure, Equity capital, Equity securities, Financial technology, Regulation NMS, SEC, Securities regulation [read post]
28 Jan 2009, 9:40 am
Securities and Exchange Commission; Ms. [read post]
21 Jun 2019, 6:42 am
Pinedo, and Michael D. [read post]
1 Dec 2022, 1:58 pm
********************** On November 16, 2022, Dell Technologies Inc. reached a $1 billion settlement with shareholders, according to a recently filed 8-K filed with the U.S Securities and Exchange Commission. [read post]
13 Aug 2021, 5:51 am
Posted by Edwin J. [read post]
24 May 2023, 6:37 am
Some reimbursement payments were made from the Donald J. [read post]
12 Nov 2021, 6:07 am
Securities and Exchange Commission, on Friday, November 5, 2021 Tags: Accountability, Compliance and disclosure interpretation, DOJ, SEC, SEC enforcement, SEC rulemaking, Securities enforcement SEC Modernizes Filing Fee Rules Posted by Ron C. [read post]
15 Feb 2024, 9:05 pm
On January 24, 2024, the Securities and Exchange Commission (SEC) adopted final rules that impose significant additional procedural and disclosure requirements on initial public offerings (IPOs) by special purpose acquisition companies (SPACs) and in business combination transactions involving SPACs (de-SPACs). [read post]
24 Sep 2010, 7:00 am
Securities and Exchange Commission v. [read post]
1 Feb 2019, 10:51 am
The deterrent effect of the Securities and Exchange Commission’s enforcement intensity on illegal insider trading: evidence from run-up before news events. [read post]
12 Aug 2022, 6:51 am
Securities and Exchange Commission, on Thursday, August 11, 2022 Tags: CFTC, Disclosure, Form PF, Hedge funds, Institutional Investors, Private equity, Private funds, SEC, SEC rulemaking, Securities regulation [read post]
12 Aug 2022, 6:51 am
Securities and Exchange Commission, on Thursday, August 11, 2022 Tags: CFTC, Disclosure, Form PF, Hedge funds, Institutional Investors, Private equity, Private funds, SEC, SEC rulemaking, Securities regulation [read post]
15 Jul 2021, 2:54 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
1 Feb 2023, 9:01 pm
The passage of the Securities Act and the Exchange Act, and the authority that Congress gave to the Commission, reflected an intentional and marked departure from that dark default. [read post]
11 Oct 2020, 4:31 pm
There was a statement in open court in the case of Michael Turner v MGN Ltd before the same judge. [read post]
5 Jun 2012, 8:14 am
Attorney for the Southern District of Florida; John V. [read post]
5 Jun 2012, 8:14 am
Attorney for the Southern District of Florida; John V. [read post]
16 Mar 2010, 1:14 am
Securities and Exchange Commission's reliance on prospectus language in bringing a Rule 10(b)(5) case against broker-dealer executives. [read post]
