Search for: "In Re Securities and Exchange Commission" Results 1 - 20 of 2,817
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22 Jul 2024, 5:32 am by Josh Blackman
Speaking of Rand… From the 1930s through 2010, the Securities and Exchange Commission (SEC) would seek civil penalties in federal court. [read post]
18 Jul 2024, 9:05 pm by Anagha Vasudevarao
Pritzker Professor of Business Law at the University of Chicago Law School, criticized a Securities and Exchange Commission (SEC) rule that addresses greenwashing, or the use of misleading names to give the appearance of a socially responsible mutual fund. [read post]
11 Jul 2024, 9:05 pm by Samantha Heavner
WHAT WE’RE READING THIS WEEK In an article in the Yale Journal on Regulation, Andrew K. [read post]
11 Jul 2024, 6:12 am by Chris Sutton
The Securities and Exchange Commission (SEC) has selected FINRA as the regulating entity to license and regulate broker-dealers. [read post]
10 Jul 2024, 1:27 pm by Doug Cornelius
Sources: SEC Alleges Fraudulent Securities Offering of Alternative AssetsSecurities and Exchange Commission v. [read post]
10 Jul 2024, 8:26 am by Bailey Ulbricht, Allen S. Weiner
On February 1, for example, a multi-story apartment building housing Médecins Sans Frontières (MSF) staff and their families was hit by Israeli tank fire without warning, killing two people and injuring seven others. [read post]
10 Jul 2024, 8:25 am by Joanna Herzik
If you’re interested we will like to run ALL excess proceeds recoveries through you, which means constant business! [read post]
10 Jul 2024, 6:51 am by Kevin LaCroix
” THE MACQUARIE DECISION: The first paragraph of the opinion summarizes the issue and the result with unusual brevity and clarity: “Securities and Exchange Commission (SEC) Rule 10b– 5(b) makes it unlawful to omit material facts in connection with buying or selling securities when that omission renders “statements made” misleading. [read post]
4 Jul 2024, 9:01 pm by renholding
This statement was issued on July 1, 2024, by Gary Gensler, chair of the U.S Securities and Exchange Commission, in Washington, D.C. [read post]
2 Jul 2024, 5:51 am by Bailey Ulbricht
On February 1, for example, a multi-story apartment building housing Médecins Sans Frontières (MSF) staff and their families was hit by Israeli tank fire without warning, killing two people and injuring seven others. [read post]
1 Jul 2024, 6:19 pm
 Pix credit here 新华社研究院the Xinhua News Agency Research Institute has recently circulated ( 更好赋能中国繁荣世界——新质生产力的理论贡献和实践价值] (Better empowering China to prosper the world - the theoretical contribution and practical value of new productivity (20 June 2024))--a fairly… [read post]
30 Jun 2024, 9:42 pm by Richmond Cariaga
This includes email exchanges, letters, and phone calls with your employer, insurance company, and healthcare providers. [read post]
27 Jun 2024, 9:05 pm by Matthew Chagares
Securities and Exchange Commission (SEC) violated the right to a jury trial guaranteed by the Seventh Amendment of the U.S. [read post]
24 Jun 2024, 9:01 pm by renholding
The Division staff selectively reviews filings made under the Securities Act, the Exchange Act, or pursuant to Regulation A to monitor and enhance compliance with the applicable disclosure and accounting requirements. [read post]
21 Jun 2024, 6:57 am by Dan Bressler
” “Napoli Shkolnik PLLC is pooling its portion of approximately $1.3 billion in settlements with major opioid manufacturers and pharmacies, including McKesson, Janssen, CVS and Walgreens, according to a Securities and Exchange Commission filing. [read post]