Search for: "Matthew Garza"
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7 Aug 2014, 12:13 pm
[This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.Commissioner Daniel Gallagher laid out his argument against the retroactive application of collateral bars from association with municipal securities advisors and Nationally Recognized Statistical Ratings Organizations (NRSROs) in a dissenting opinion in the SEC’s case against John Lawton, an investment adviser subjected to a full collateral bar in a December 13, 2012 Commission… [read post]
19 Sep 2014, 7:35 am
[This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.In two speeches delivered on Tuesday, Commissioner Daniel Gallagher asserted that the equity market structure is out of date, and expressed alarm over opaqueness in the debt markets. [read post]
18 Jun 2015, 4:00 am
By Matthew Garza, J.D.The SEC has issued an order denying a stay of Regulation A+ sought by the state of Montana. [read post]
31 Oct 2022, 7:50 am
By Matthew Garza, J.D.The recently-held 5th Annual Legal/Reg Tech Workshop hosted by Doon Insights took place at a turbulent time for markets, but despite, or maybe because of that, progress in legal and reg tech continues to push ahead. [read post]
24 Feb 2015, 2:24 pm
By Matthew Garza, J.D. [read post]
15 Oct 2015, 7:15 am
By Matthew Garza, J.D. [read post]
8 Apr 2016, 3:18 pm
By Matthew Garza, J.D.The federal district court in Chicago rejected an attempt by a futures trader to overturn his conviction for commodities fraud and spoofing in an opinion that elucidated the criminal standard for a conviction under the Dodd-Frank-prohibited activity (U.S. v. [read post]
29 Jul 2021, 7:26 am
By Matthew Garza, J.D.Citing investor demand and the need to keep up with the times, SEC Chair Gary Gensler made a call for SEC action to propose standardized climate change disclosures by the end of this year. [read post]
10 May 2007, 11:21 am
Garza, Jr. [read post]
22 Jul 2011, 7:54 am
Maximino Garza, No. 10-0435 October 5, 2011 Natural Gas Pipeline Co. v. [read post]
2 Jan 2018, 4:28 am
” At the Cato Institute’s Cato at Liberty blog, Ilya Shapiro and Matthew Larosiere maintain that if the Supreme Court lets the lower court’s decision stand in Lozman v. [read post]
8 Jul 2010, 5:00 am
McBride, Scott McCaleb, Michael McCaleb, Ryan McCarthy, Richard McLaren, Dion Messer, John Molenda, Brian Pandya, Chad Pannell, Lee Perla, Matthew Phillips, Janet Phipps Burkhead, Thomas Puppa, George Quillin, Courtland Reichman, Edward Reines, Elizabeth Roesel, Elizabeth Rogers Brannen, Joshua Rothman, Adam Samansky, Jeff Schwartz, Beth Shaw, Chad Shear, William J. [read post]
6 Oct 2011, 6:45 am
Maximino Garza, No. 10-0435. [read post]
18 Aug 2011, 2:23 pm
Students from Marquette included: Ryan Albregts, Andrea Austin, Margaret Barr, Justin Bertron, Tyler Brennan, Allison Ceille, Jason Cooper, Alexandra Dziamski, Matthew Galvin, Cody Garza, John Graham, Patricia Heise, Aneet Kaur, Patrick Kern, Derek Kulland, Stephen Laczniak, Adam Lopez, Patricia Mattingly, Jonathan Meulemans, Brad Meyer, Jessica Pfau, Lauren Raupp, Bryan Strand, and Ryan Truesdale. [read post]
20 Dec 2011, 3:31 pm
Sorrell, 68 Ohio State Law Journal 849 (2007) First Amendment Limits on Regulating Judicial Campaigns, in Running for Judge (Matthew Streb ed., NYU Press, 2007) (draft available) Congressional Power to Renew Preclearance Provisions, in The Future of the Voting Rights Act (Epstein, Pildes, de la Garza and O’Halloran, eds., Russell Sage Foundation, 2006) Bad Legislative Intent, 2006 Wisconsin Law Review 843 No Exit? [read post]
2 Aug 2011, 1:15 pm
Garza Tom Gede Mary Ann Glendon Alan Gura Jimmy Gurulé Catherine Hanaway Jennifer Hardy W. [read post]
14 Jan 2015, 1:37 pm
[This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.The management's discussion and analysis (MD&A) requirement of Regulation S-K Item 303 creates an affirmative duty to disclose that can serve as the basis for an Exchange Act 10(b) fraud claim, the Second Circuit held Monday in a matter of first impression. [read post]
24 Apr 2015, 8:55 am
., No. 13-0750 Per Curiam MATTHEW LIPPINCOTT AND CREG PARKS v. [read post]
13 Apr 2015, 5:00 am
Schooler, April 3, 2015 SEC Fails to Establish Regulation D Violations by Matthew Garza, J.D. in Jim Hamilton’s World of Securities Litigation 17 CFR 230.506 – Exemption for limited offers and sales without regard to dollar amount of offering Real Estate Investment Fraud or Securities Fraud? [read post]
13 Dec 2006, 7:17 pm
Davis, Keesha Davis, Matthew T. [read post]
