Search for: "Harris v. Securities and Exchange Commission"
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2 Nov 2009, 2:33 pm
Securities and Exchange Commission backed the petitioners in the case, the agency has not filed any actions enforcing the relevant statute since 1980. [read post]
30 Mar 2010, 10:06 am
(a) A consensus has developed regarding the standard Gartenberg set forth over 25 years ago: The standard has been adopted by other federal courts, and the Securities and Exchange Commission’s regulations have recognized, and formalized, Gartenberg-like factors. ... [read post]
30 Mar 2010, 4:16 pm
An alternative to the fiduciary duty standard ultimately appearing in the statute would have given the Securities and Exchange Commission power to review fees for reasonableness. [read post]
19 Dec 2018, 6:01 am
Securities and Exchange Commission (Docket No. 17-1077), a case that considers the potential liability for a false statement that is not “made” by a person under the now-familiar standard articulated in the Supreme Court’s 2011 decision in Janus Capital Group, Inc. v. [read post]
3 Jul 2018, 6:25 am
Securities and Exchange Commission, — U.S. [read post]
22 Nov 2016, 6:14 am
Supreme Court ruled against the Securities and Exchange Commission and exonerated securities analyst Raymond Dirks from charges that he illegally passed along insider information garnered from a tipper, Ronald Secrist. [read post]
9 Jun 2019, 8:18 am
Securities and Exchange Commission v. [read post]
11 Jan 2011, 10:27 am
Ornstein, 51 S.E.C. 135, 137 (1992); Depandrsquo;t of Enforcement v. [read post]
11 Jan 2011, 10:27 am
Ornstein, 51 S.E.C. 135, 137 (1992); Dep’t of Enforcement v. [read post]
16 Jun 2022, 9:05 pm
Securities and Exchange Commission on June 16, 2022. [read post]
11 Sep 2022, 4:28 am
Federal Election Commission. [read post]
28 Jun 2011, 11:47 am
–based securities laws violations, Section 21 of the Exchange Act provides proper authority for the relief sought by the commission,” she held. [read post]
14 Jan 2019, 5:50 am
Securities and Exchange Commission (Docket No. 17-1077), a case that considers the potential liability for a false statement that is not “made” by a person under the now-familiar standard articulated in the Supreme Court’s 2011 decision in Janus Capital Group, Inc. v. [read post]
7 Aug 2012, 8:02 am
But not even the Securities and Exchange Commission can say for sure. [read post]
12 Mar 2009, 7:29 pm
If a plaintiff with large legal resources and little economic motivation - i.e., the Securities and Exchange Commission - mounted a case on the strength of egregious facts, things might change. [read post]
9 Sep 2015, 6:08 am
Circuit confirmed its earlier ruling striking down part of the Securities and Exchange Commission’s (“SEC”) Conflict Minerals Rule (the “Rule”) as unconstitutional. [read post]
23 Apr 2013, 6:28 am
Pratt, SP&V, LLC, and Timothy V. [read post]
23 Jun 2020, 3:56 am
Securities and Exchange Commission, holding 8-1 that the SEC can seek disgorgement of profits as a remedy in court for violating the securities fraud laws if the amount does not exceed the wrongdoer’s net profit and is awarded for the victims. [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]
20 Oct 2023, 6:30 am
Securities and Exchange Commission, on Saturday, October 14, 2023 Tags: Enron, Rule 13f-2, SEC, Section 13(f)(2) Statement by Chair Gensler on Final Rules Regarding Short Sale Activity Posted by Gary Gensler, U.S. [read post]
