Search for: "Katz v. Securities and Exchange Commission"
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11 Nov 2014, 7:15 pm
This case concerns Section 11 of the Securities Act of 1933, which authorizes suit by a purchaser of securities issued under a registration statement filed with the Securities and Exchange Commission--if the registration statement “contained an untrue statement of material fact or omitted to state a material fact required to be stated therein or necessary to make the statement therein not misleading. [read post]
6 Oct 2020, 6:09 am
Securities and Exchange Commission. [read post]
14 Apr 2022, 5:43 am
Securities and Exchange Commission by Mr. [read post]
14 Apr 2022, 5:43 am
Securities and Exchange Commission by Mr. [read post]
22 Aug 2019, 12:49 pm
Katz, Sabastian V. [read post]
26 Oct 2015, 7:22 am
Katz and Sabastian V. [read post]
6 Aug 2021, 2:09 pm
In Alpine Securities Corp. v. [read post]
12 Aug 2016, 6:13 am
Securities and Exchange Commission . [read post]
16 Jun 2022, 9:05 pm
Securities and Exchange Commission on June 16, 2022. [read post]
22 Apr 2015, 9:12 am
This case concerns Section 11 of the Securities Act of 1933, which authorizes suit by a purchaser of securities issued under a registration statement filed with the Securities and Exchange Commission if the registration statement “contained an untrue statement of material fact or omitted to state a material fact required to be stated therein or necessary to make the statement therein not misleading. [read post]
5 Dec 2009, 8:29 am
SEC v. [read post]
14 Mar 2021, 8:04 am
As the new leadership of the Securities and Exchange Commission considers the agency’s regulatory priorities, they might take note of the recent decision of the Delaware Court of Chancery in The Williams Companies Stockholder Litigation. [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]
19 Mar 2016, 6:00 am
Katz, Sabastian V. [read post]
2 Mar 2021, 6:04 am
Silk, Sabastian V. [read post]
28 Oct 2022, 6:31 am
On August 25, 2022, the Securities and Exchange Commission (“SEC”) adopted a new disclosure rule to implement the “pay versus performance” disclosure requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”). [read post]
8 Aug 2020, 7:08 am
Norwitz, Sabastian V. [read post]
7 Feb 2021, 7:12 am
Securities and Exchange Commission (SEC) announced the appointment of Satyam Khanna as its Senior Policy Advisor for Climate and ESG. [read post]
12 Oct 2018, 6:29 am
[On September 26, 2018], the Securities and Exchange Commission announced that it had settled charges against an Iowa-based broker-dealer and investment adviser stemming from an April 2016 data breach that compromised at least 5,600 customer accounts. [read post]
4 Nov 2022, 6:30 am
Securities and Exchange Commission, on Monday, October 31, 2022 Tags: Investment advisers, Investment Advisers Act, legal framework, regulation, SEC, SEC enforcement Lessons from Twitter v. [read post]
