Search for: "Katz v. Securities and Exchange Commission"
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15 Dec 2017, 6:13 am
Securities and Exchange Commission, on Saturday, December 9, 2017 Tags: Capital formation, Conflicts of interest, Disclosure, EDGAR, Exchange-traded funds, Financial reporting, Investment advisers, Investment Company Act, Investor protection, SEC, Securities regulation, Transparency Do Professional Norms in the Banking Industry Favor Risk-taking? [read post]
21 Apr 2017, 6:25 am
Brinckerhoff v. [read post]
21 Apr 2017, 6:25 am
Brinckerhoff v. [read post]
3 Feb 2017, 6:04 am
Securities and Exchange Commission, on Monday, January 30, 2017 Tags: Broker-dealers, Capital formation, Disclosure, Dodd-Frank Act, Financial regulation, Financial technology, Investor protection, JOBS Act, SEC, SEC enforcement, Securities enforcement, Securities regulation The Common Law Corporation: The Power of the Trust in Anglo-American Business History Posted by John D. [read post]
9 Dec 2016, 1:00 am
Karp and Sabastian V. [read post]
12 Aug 2016, 6:13 am
Securities and Exchange Commission . [read post]
10 Jun 2016, 6:15 am
Securities & Exchange Commission, on Friday, June 3, 2016 Tags: Audit trail, Capital formation, Capital markets, Disclosure, Dodd-Frank Act, Equity capital, Investor protection, JOBS Act, Regulation NMS, SEC, SEC rulemaking, Securities regulation, Small firms, Transparency Delaware Court of Chancery Appraises Fully-Shopped Company at Nearly 30% Over Merger Price Posted by Martin Lipton and Theodore N. [read post]
19 Mar 2016, 6:00 am
Katz, Sabastian V. [read post]
22 Jan 2016, 6:13 am
Securities and Exchange Commission, on Wednesday, January 20, 2016 Tags: Acquisition likelihood, Acquisition premiums, Acquisitions, Delaware law, Delaware legislation, DGCL, Incentives,Management, Mergers & acquisitions, Retention, Shareholder power, Shareholder value, Shareholder voting, Short-form merger, Target firms, Tender offer Compensation Season 2016 Posted by Michael J. [read post]
26 Oct 2015, 7:22 am
Katz and Sabastian V. [read post]
8 Sep 2015, 5:08 pm
First, in a July 8, 2015 decision in Acevedo v. [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]
13 Jan 2015, 3:57 am
For starters, at the end of his blog about this issue, Keith Bishop wonders: Daniel Gallagher is a sitting Commissioner and his co-authorship of this paper could lead arguments that he must disqualify himself should the issue actually come before the Securities and Exchange Commission. [read post]
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]
1 Mar 2013, 6:15 am
Securities and Exchange Commission, in which the Court rejected the SEC’s interpretation and held that the five-year statute of limitations during which the SEC may seek civil penalties for securities fraud against investment advisors begins not when the fraud is discovered, but when it occurs. [read post]
26 Sep 2012, 7:34 pm
Meantime, another hedge fund manager, Oregon-based investment advisor Yusaf Jawad, is being sued by the Securities and Exchange Commission over an alleged $37 million Ponzi scam. [read post]
19 Jan 2012, 3:17 am
Securities and Exchange Commission in the case against Newman and another former employee, Jesse Tortora. [read post]
13 Jan 2012, 8:54 am
In SEC v. [read post]
13 Jan 2012, 8:54 am
In SEC v. [read post]
18 Aug 2011, 10:48 am
(See Melone v. [read post]
