Search for: "Phillips v. Securities and Exchange Commission"
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2 Oct 2012, 1:08 pm
The Securities and Exchange Commission (SEC) Office of the Whistleblower has today issued seven (7) new Notices of Covered Actions. [read post]
6 Feb 2018, 7:24 am
China Economic and Security Review Commission was created on October 30, 2000 by the Floyd D. [read post]
14 Mar 2012, 2:00 am
Securities and Exchange Commission, 451 F.3d 873 (D.C. [read post]
13 Feb 2009, 7:19 am
The New Orleans Employees' Retirement System claims the investment bank's Swiss bankers acted improperly and violated Securities and Exchange Commission regulations when they sold securities in the United States even though they lacked the necessary licensing. [read post]
18 Dec 2010, 9:00 pm
However, James Hardie lost its own appeal (see separate judgment James Hardie Industries NV v Australian Securities and Investments Commission [2010] NSWCA 332), when the Court upheld a ruling that the company made misleading statements to the Australian Securities Exchange (ASX) in 2002 about its ability to “meet all asbestos claims and as to remaining asbestos claims”. [read post]
24 Aug 2018, 4:32 am
” Briefly: For The Wall Street Journal, Gabriel Rubin reports that “[t]he Securities and Exchange Commission said it plans to rehear dozens of cases that were pending before its in-house administrative-law judges, following a June Supreme Court ruling[, in Lucia v. [read post]
3 Apr 2024, 9:01 pm
As is customary, my remarks this morning are in my official capacity as Director of the Securities and Exchange Commission’s Division of Enforcement, and do not necessarily reflect the views of the Commission, the Commissioners, or other members of the staff. [read post]
27 Mar 2017, 12:06 pm
And in Snyder v. [read post]
8 May 2012, 6:42 am
Securities and Exchange Commission to appoint a receiver (the “US Receiver”) over the assets of SIB, Allen Stanford and other individuals who were allegedly running the scheme. [read post]
15 Oct 2021, 7:38 am
The Commission consists of nine Senators, nine Members of the House of Representatives, and five senior Administration officials appointed by the President. [read post]
30 Jan 2024, 9:02 pm
”[26] In the Commission’s telling, “[a]s part of the settlement process, the Commission and a defendant negotiate terms,” and “if either party disagrees with terms t [read post]
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]
20 Oct 2023, 6:54 am
On March 1, 2011, the Securities and Exchange Commission . . . decided it preferred its home turf. [read post]
28 Sep 2022, 9:12 am
This case would ultimately determine the constitutional status of Securities & Exchange Commission administrative law judges. [read post]
8 Mar 2020, 9:01 pm
Securities and Exchange Commission, for example, likely could not use adjudication to require broker-dealers to file Form BD. [read post]
19 Jun 2018, 4:00 am
At Bloomberg, Greg Stohr reports that the justices “agreed to consider narrowing the nation’s securities-fraud laws, accepting an appeal from an investment banker found by the Securities and Exchange Commission to have duped investors about a startup company’s financial condition. [read post]
21 Oct 2021, 9:03 pm
Securities and Exchange Commission (SEC) could address the harm resulting from the lack of regulation in digital asset markets. [read post]
6 Mar 2022, 11:36 am
Phillip D. [read post]
28 Nov 2011, 8:57 pm
On October 26, 2011, the Chicago Mercantile Exchange ("CME") performed a spot audit on MF Global. [read post]
6 Mar 2024, 9:03 pm
[5] Commission Guidance Regarding Disclosure Related to Climate Change, Release No. 33-9106 (Feb. 2, 2010) [75 FR 6290 (Feb. 8, 2010)] [6] See Basic Inc. v. [read post]
