Search for: "Frankel v. Securities and Exchange Commission" Results 1 - 20 of 21
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26 Sep 2017, 9:01 pm by Tamar Frankel
” (v) “How often is your account rebalanced? [read post]
22 Sep 2011, 6:35 am by Ted Frank
Jim Copland speaks with Harvey Pitt, former chairman of the Securities and Exchange Commission, about shareholder proposal trends over the last four years and how the SEC has changed since Dodd-Frank. [read post]
18 Jan 2018, 6:16 am by Doug Cornelius
The use of administrative law judges by the Securities and Exchange Commission has been strained since the jurisdiction was expanded under Dodd-Frank. [read post]
25 Nov 2018, 9:01 pm by Tamar Frankel
Section 21F of the Exchange Act authorizes the Securities and Exchange Commission to pay awards to eligible individuals who voluntarily provide high quality, original information leading to an enforcement action and culminating in orders of over $1 million in sanctions. [read post]
19 Sep 2018, 12:00 am by Ana Engativa
On August 8, the day after the Tweet, the Securities and Exchange Commission (SEC) began investigating whether Mr. [read post]
7 Jan 2014, 11:38 pm by Kevin LaCroix
They propose a “meaningful modification” of the Court’s holding in Basic, Inc. v. [read post]
8 Jun 2017, 4:32 am by Edith Roberts
Securities and Exchange Commission, in which the court held that a five-year statute of limitations applies to a claim for disgorgement in an SEC enforcement action, pointing to a footnote in the opinion that “looks a lot like an open invitation for some future disgorgement defendant to challenge SEC’s authority to seek disgorgement. [read post]
16 Nov 2014, 9:05 pm by Walter Olson
Bank of America, see last page] Two SEC commissioners warn that campaigned-for “fair fund” to compensate investors in CR Intrinsic inside trading case “likely to benefit only class-action attorneys and the fund’s administrators” [Daniel Gallagher and Michael Piwowar, WSJ] “U.S. veterans sue [major European] banks, claim they should pay for Iraq attacks” [Alison Frankel, Reuters] Tweet Tags: administrative law, banks, Securities and… [read post]
18 Jan 2018, 4:17 am by Edith Roberts
Securities and Exchange Commission that SEC administrative law judges are “officers of the United States” within the meaning of the appointments clause. [read post]
23 Feb 2018, 4:07 am by Edith Roberts
Somers, in which the court ruled that the anti-retaliation provision of the Dodd-Frank Act does not apply to a whistleblower who has not first reported a violation to the Securities and Exchange Commission. [read post]
20 Apr 2017, 4:18 am by Edith Roberts
Securities and Exchange Commission, which asks whether a federal statute of limitations on civil penalties and forfeitures applies to disgorgements. [read post]
13 Jan 2015, 3:57 am by Broc Romanek
For starters, at the end of his blog about this issue, Keith Bishop wonders: Daniel Gallagher is a sitting Commissioner and his co-authorship of this paper could lead arguments that he must disqualify himself should the issue actually come before the Securities and Exchange Commission. [read post]
29 Sep 2021, 7:47 pm by Race to the Bottom
However, this speed sacrifices the scrutiny of the Securities and Exchange Commission (“SEC”) and the disclosures required in the IPO process; a sacrifice that may lead many ill-prepared companies to take the IPO plunge. [read post]
25 Jul 2011, 1:55 am by Kevin LaCroix
National Australia Bank, Section 10 of the ’34 Act and Rule 10b-5 apply  to “transactions in securities listed on domestic exchanges, and domestic transactions in other securities.” [read post]
26 Sep 2016, 4:43 am by Edith Roberts
” At Reuters, Alison Frankel suggests that next term’s Salman v. [read post]
4 Jan 2016, 4:08 pm by Kevin LaCroix
  The dust-up in Delaware over fee-shifting bylaws got started in May 2014, when the Delaware Supreme Court in the ATP Tours, Inc. v. [read post]
8 Sep 2015, 5:08 pm by Kevin LaCroix
  First, in a July 8, 2015 decision in Acevedo v. [read post]