Search for: "In Re Securities and Exchange Commission"
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30 Aug 2024, 3:00 am
In In re Alphabet, the Ninth Circuit held that falsity allegations could survive a motion to dismiss when the complaint plausibly alleged that a company’s Securities and Exchange Commission (SEC) filings warned that risks “could” occur, when in fact those risks had already materialized. [read post]
29 Aug 2024, 9:05 pm
Securities and Exchange Commission to comply with anti-money laundering and counter terrorism financing requirements. [read post]
23 Aug 2024, 12:15 am
Last Friday, Elevai Labs Inc. filed a preliminary information statement with the Securities and Exchange Commission disclosing that its stockholders had "approved the re-domestication of the Company from a Delaware corporation to a Nevada corporation". [read post]
22 Aug 2024, 9:07 am
The deference afforded by Chevron allowed federal agencies like the Federal Trade Commission (FTC), the Securities and Exchange Commission (SEC), and the Consumer Financial Protection Bureau (CFPB) to autonomously update and refine their regulatory approaches in response to evolving industry conditions and consumer behaviors. [read post]
20 Aug 2024, 4:29 am
Recently, the Securities and Exchange Commission (SEC) reportedly commenced investigations into some brokerage firms’ cash sweep programs, according to media reports . [read post]
20 Aug 2024, 4:29 am
Recently, the Securities and Exchange Commission (SEC) reportedly commenced investigations into some brokerage firms’ cash sweep programs, according to media reports . [read post]
20 Aug 2024, 4:29 am
Recently, the Securities and Exchange Commission (SEC) reportedly commenced investigations into some brokerage firms’ cash sweep programs, according to media reports . [read post]
17 Aug 2024, 6:36 pm
Claire Methven O’Brien and I have posted the Introductory chapter to the book we are editing: The current state and future trajectories of human rights due diligence laws (Routledge, forthcoming 2025). [read post]
12 Aug 2024, 4:30 pm
The case so holding, called Jarkesy, involved the Securities and Exchange Commission and securities fraud penalties, but already the focus is shifting to the IRS. [read post]
8 Aug 2024, 9:05 pm
WHAT WE’RE READING THIS WEEK In an article in the Vanderbilt Law Review, Laura E. [read post]
7 Aug 2024, 1:29 pm
The Legal Burden While the FTC has not yet filed its complaint, the interim report did outline potential antitrust violations, as did the commission’s June 2022 policy statement on “rebates and fees for excluding lower cost drug products. [read post]
30 Jul 2024, 9:05 pm
ENDNOTES [1] Securities and Exchange Commission (SEC) (2000) Final Rule: Selective Disclosure and Insider Trading. https://www.sec.gov/rules/final/33-7881.htm [2] For example, see the following two studies: Campbell J.L., Twedt B.J., Whipple B.C. (2021). [read post]
29 Jul 2024, 2:27 pm
Douglas was a law professor at Yale, but later headed the Securities and Exchange Commission. [read post]
26 Jul 2024, 9:00 am
In 2015, the Securities and Exchange Commission (SEC) inaugurated Regulation A+, an expansive amendment to the existing Regulation A exemption of the Securities Act of 1933 (Regulation A). [read post]
26 Jul 2024, 9:00 am
In 2015, the Securities and Exchange Commission (SEC) inaugurated Regulation A+, an expansive amendment to the existing Regulation A exemption of the Securities Act of 1933 (Regulation A). [read post]
22 Jul 2024, 5:32 am
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
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]
15 Jul 2024, 9:01 pm
In Securities and Exchange Commission v. [read post]
12 Jul 2024, 11:30 am
But you're getting the same judge. [read post]
11 Jul 2024, 9:05 pm
WHAT WE’RE READING THIS WEEK In an article in the Yale Journal on Regulation, Andrew K. [read post]
