Search for: "Gottlieb v. Securities and Exchange Commission"
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24 Aug 2012, 6:18 am
On August 8, 2012, the Second Circuit issued an important decision in Securities and Exchange Commission v. [read post]
24 Aug 2012, 6:18 am
On August 8, 2012, the Second Circuit issued an important decision in Securities and Exchange Commission v. [read post]
24 Aug 2012, 6:18 am
On August 8, 2012, the Second Circuit issued an important decision in Securities and Exchange Commission v. [read post]
22 Aug 2017, 6:02 am
Securities and Exchange Commission that disgorgement in SEC proceedings is subject to the five-year statute of limitations for penalties. [read post]
7 Jun 2017, 6:05 am
§ 2462 applies to claims for disgorgement by the Securities and Exchange Commission (“SEC”). [read post]
30 Jul 2018, 6:17 am
The answer to this question could have implications for the Securities and Exchange Commission’s (“SEC” or “Commission”) Enforcement Division as well as potentially significant implications for private securities litigants who principally rely on Section 10(b) to bring private causes of action sounding in fraud. [read post]
16 Jul 2018, 6:25 am
SEC that Securities and Exchange Commission Administrative Law Judges (ALJs) are “officers” for the purposes of the Constitution’s Appointments Clause. [read post]
26 Jun 2018, 6:46 am
In a completely unsurprising statement, a high-ranking official at the Securities and Exchange Commission said that Bitcoins are not securities. [read post]
16 Jun 2022, 9:05 pm
Securities and Exchange Commission on June 16, 2022. [read post]
23 Mar 2018, 6:23 am
Securities and Exchange Commission, on Friday, March 16, 2018 Tags: Accounting, Disclosure, Exchange-traded funds, Financial reporting, Investor protection, Liquidity, Mutual funds, Risk management, SEC, Securities regulation, Transparency Proposed Amendments to Public Reporting of Fund Liquidity Information Posted by Hester M. [read post]
13 Aug 2021, 5:51 am
SEC Brings SPAC Enforcement Action and Signals More to Come Posted by Adam Brenneman, Rahul Mukhi, and Jared Gerber, Cleary Gottlieb Steen & Hamilton LLP, on Friday, August 6, 2021 Tags: IPOs, Mergers & acquisitions, SEC, SEC enforcement, Securities regulation, SPACs Shareholder Meetings and Freedom Rides: The Story of Peck v. [read post]
23 Dec 2022, 6:30 am
Securities and Exchange Commission, on Friday, December 16, 2022 Tags: China, CSRC, HFCAA, PCAOB, Sarbanes–Oxley Act, SEC enforcement The Coming Wave of “Natural Capital” and Biodiversity Shareholder Activism and Stewardship Pressure on Boards Posted by Sabastian V. [read post]
23 Dec 2022, 6:30 am
Securities and Exchange Commission, on Friday, December 16, 2022 Tags: China, CSRC, HFCAA, PCAOB, Sarbanes–Oxley Act, SEC enforcement The Coming Wave of “Natural Capital” and Biodiversity Shareholder Activism and Stewardship Pressure on Boards Posted by Sabastian V. [read post]
7 Mar 2010, 7:58 am
On February 2, 2010, the Securities and Exchange Commission issued an interpretive release to provide guidance on existing Commission disclosure requirements as they apply to climate change. [read post]
21 Nov 2009, 8:52 am
In the wake of these cases, as well as Enron and the unanticipated and significant decline in the financial position of other public companies, the role of the securities analyst was scrutinized by Congress, the Securities and Exchange Commission (the “SECâ€), state regulators and various self-regulatory organizations. [read post]
22 Jun 2018, 6:01 am
Brownback and V. [read post]
19 Oct 2018, 6:08 am
Securities and Exchange Commission, on Saturday, October 13, 2018 Tags: Disclosure, information, SEC, Securities regulation, Swaps Statement on Commission Action Regarding Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers Posted by Kara M. [read post]
13 Mar 2020, 6:31 am
Securities and Exchange Commission, on Wednesday, March 11, 2020 Tags: Conflicts of interest, Institutional Investors, Investment advisers, Proxy season, Proxy voting, SEC, Securities regulation, Shareholder proposals, Shareholder voting, Universal proxy ballots The Toshiba Securities Litigation: Perils For Foreign Issuers Posted by Roger Cooper, Jared Gerber, and Les Silverman, Cleary… [read post]
24 Dec 2021, 6:26 am
Securities and Exchange Commission, on Friday, December 17, 2021 Tags: Inside information, Insider trading, Misconduct, Rule 10b-5-1, SEC, SEC enforcement, SEC rulemaking, Securities enforcement, Securities regulation Statement by Chair Gensler on Rule 10b5-1 and Insider Trading Posted by Gary Gensler, U.S. [read post]
10 Feb 2017, 5:54 am
Cohen, Latham & Watkins LLP, on Sunday, February 5, 2017 Tags: Accounting, Disclosure, Earnings disclosure, Exchange Act, Filings, Financial reporting, IPOs, JOBS Act, Registration statements, Regulation S-K, SEC, Securities Act, Securities regulation, Small firms 2016 Developments in Securities and M&A Litigation Posted by Cleary Gottlieb Steen & Hamilton LLP, on Monday, February 6, 2017 Tags: Appraisal rights, Class actions, Delaware… [read post]
