Search for: "ME SEC OF STATE"
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2 Jan 2014, 5:18 am
The action shows me that the SEC is serious about custody rule compliance, even when client assets are not in danger. [read post]
3 Jan 2018, 6:10 am
Interviewed for an article about the Forum’s anniversary in the Harvard Law School Bulletin, Jackson commented: “[Editing the Forum] gave me … an experience that convinced me that legal academia was the place for me…Ten years later, I still draw on those relationships and insights in my teaching and scholarship. [read post]
7 Apr 2015, 9:31 am
The amended confidentiality statement states: "Nothing in this Confidentiality Statement prohibits me from reporting possible violations of federal law or regulation to any governmental agency or entity, including but not limited to the Department of Justice, the Securities and Exchange Commission, the Congress, and any agency Inspector General, or making other disclosures that are protected under the whistleblower provisions of federal law or regulation. [read post]
16 May 2022, 4:10 am
To me, cooperation is more than the absence of obstruction; it’s an affirmative behavior. [read post]
22 Dec 2021, 1:30 pm
Another feature of this settlement that is interesting to me is that the settlement involves a company that became publicly traded during the same time frame as the alleged misconduct through a merger with a SPAC. [read post]
3 May 2012, 4:57 am
But that’s just me. [read post]
9 Jun 2021, 3:30 am
In fact, a 2018 IPCC publication stated that “for most economic sectors, the impact of climate change will be small relative to the impacts of other drivers. [read post]
18 Jun 2018, 8:21 am
The highlight of the Yahoo All Markets Summit: Crypto was the remarks by SEC Corporation Finance Director William Hinman where he stated, “Based on my understanding of the present state of Ether, the Ethereum network and its decentralized structure, current offers and sales of Ether are not securities transactions. [read post]
16 Mar 2015, 3:28 am
” These don’t look like broken windows to me, although some will claim they are, but it’s probably more of the SEC’s robo-cop program. [read post]
25 Nov 2019, 11:51 am
The other four states would be on this list based on population. [read post]
11 Sep 2012, 6:07 am
It was not clear to me how the rule would work with the vice presidential candidates. [read post]
25 Sep 2015, 5:19 am
The SEC does not state so. [read post]
16 May 2012, 1:45 pm
The Ohio State Bar Association has invited me to speak at 2:00 p.m. this Friday afternoon as part of its annual "Advising Corporate Directors and Officers" Seminar. [read post]
25 Feb 2009, 5:00 am
Suffice it to say that if there ever was a time when it could be said, accurately, that the states regulated substance and the SEC regulated disclosure, those days are over. [read post]
30 Mar 2012, 6:19 am
Interesting Facets of the Case A number of features about this case leap out at me. [read post]
25 Feb 2020, 2:32 pm
Please contact me directly if you would like to submit a guest post. [read post]
2 Aug 2021, 12:35 pm
“Can you hear me? [read post]
16 Dec 2022, 9:02 pm
This is not financial advice but sharing what my friends just told me about the EthereumMax token! [read post]
30 Aug 2010, 5:09 am
The SEC Comment Process: What is a "Bedbug Letter"? [read post]
26 Jan 2011, 2:12 am
At least that is what the rule proposed yesterday states. [read post]
