Search for: "General Protective Committee v. SEC" Results 1 - 20 of 262
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12 Jul 2016, 6:41 am by Mark Astarita
 “I welcome the new members and thank all members who have served and continue to serve on the Investor Advisory Committee,” said SEC Chair Mary Jo White. [read post]
11 May 2012, 2:00 am by Keith Paul Bishop
I also wasn’t able to find the committee in the FACA database supported by the General Services Administration’s Committee Management Secretariat even though other SEC committees are included.  [read post]
2 Jan 2018, 3:12 am by Marty Lederman
In a series of recent posts (most recent here), I’ve been sharply critical of filings by the Solicitor General in the Hargan v. [read post]
2 Jan 2018, 3:12 am by Marty Lederman
In a series of recent posts (most recent here), I’ve been sharply critical of filings by the Solicitor General in the Hargan v. [read post]
23 May 2016, 8:27 am by David Cosgrove
’”[v]In testimony before the House Subcommittee on Financial Services and General Government Committee on Appropriations, Chairwoman White would not offer a timeframe for the completion, but made it clear that the SEC would be issuing its own fiduciary standards. [read post]
18 Apr 2016, 7:44 am by John Jascob
The states have asked the court to vacate the rule, contending that the SEC’s failure to impose any meaningful standards on the “qualified purchasers” eligible to invest in Tier 2 offerings oversteps the authority delegated to the Commission under the JOBS Act and strip investors of valuable state law protections (SEC v. [read post]
11 Apr 2016, 3:47 am by Broc Romanek
Conflict Minerals: SEC Not Appealing to SCOTUS As noted in this letter from Attorney General Loretta Lynch to House Speaker Paul Ryan, the SEC has decided not to appeal the result in SEC v. [read post]
11 Apr 2016, 3:47 am by Broc Romanek
Conflict Minerals: SEC Not Appealing to SCOTUS As noted in this letter from Attorney General Loretta Lynch to House Speaker Paul Ryan, the SEC has decided not to appeal the result in SEC v. [read post]
16 Mar 2016, 8:21 am by Albert Gidari
The SEC, however, believes that its proposal for a back door to email is more protective of user privacy than a search warrant. [read post]
13 Oct 2011, 5:44 pm by James Hamilton
A DOL administrative law judge erred in concluding that a company’s breach of an accounting director’s confidentiality with regard to his complaint filed with the company’s audit committee was not an adverse action under Sarbanes-Oxley whistleblower protection provisions, ruled the DOL Administrative Review Board in Menendez v. [read post]
22 Feb 2010, 9:11 am by James Hamilton
The Second Circuit Court of Appeals invited the SEC’s views of the safe harbor for forward-looking statements in the case of Slayton v. [read post]
25 Jul 2012, 10:00 am
In recent weeks, the SEC has given notice of matters that SEC Commissioners will consider at an open meeting on August 22, 2012, including: general solicitation rulemaking required by Title II of the JOBS Act disclosure and reporting rules for conflict minerals and resource extraction issuers that are required under the Dodd-Frank Wall Street Reform and Consumer Protection Act SEC Chairman Mary Schapiro also recently testified before a House… [read post]
23 Mar 2010, 12:15 pm
Because Harkness failed to specifically allege which SEC laws or regulations she believed Fieldstone to have violated by excluding her from important meetings and events, but only alleged that her exclusion put Fieldstone at an increased risk of legal violations of SEC laws, the Court concluded that Harkness' second report to the Audit Committee did not constitute protected activity. [read post]