Search for: "Frankel v. Securities and Exchange Commission"
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26 Sep 2017, 9:01 pm
” (v) “How often is your account rebalanced? [read post]
20 Jul 2023, 8:02 am
There is enough uncertainty that the court asked the Securities and Exchange Commission to offer its opinion. [read post]
22 Sep 2011, 6:35 am
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
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
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 Jan 2023, 12:49 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
28 Jan 2009, 9:40 am
Securities and Exchange Commission; Ms. [read post]
7 Jan 2014, 11:38 pm
They propose a “meaningful modification” of the Court’s holding in Basic, Inc. v. [read post]
19 Sep 2018, 12:00 am
On August 8, the day after the Tweet, the Securities and Exchange Commission (SEC) began investigating whether Mr. [read post]
13 Apr 2020, 4:19 pm
Securities and Exchange Commission. [read post]
8 Jun 2017, 4:32 am
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]
11 Jul 2022, 1:26 pm
EPA could cause problems for a number of federal agencies; among other agencies she cites in her article is the Securities and Exchange Commission (SEC). [read post]
16 Nov 2014, 9:05 pm
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
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
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
Securities and Exchange Commission, which asks whether a federal statute of limitations on civil penalties and forfeitures applies to disgorgements. [read post]
20 Aug 2012, 10:10 am
(SEC v. [read post]
13 Jan 2015, 3:57 am
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
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
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]
