Search for: "SEC v. Cross Financial Services, Inc."
Results 1 - 20
of 93
Sorted by Relevance
|
Sort by Date
1 Sep 2012, 5:00 pm
The case is SEC v. [read post]
28 Oct 2010, 7:10 am
In Office Depot, Inc. v. [read post]
25 Feb 2014, 10:02 am
” Brenner added that this provision could thus “fill a gap” caused by the Supreme Court’s decision in Janus Capital Inc. v. [read post]
9 Nov 2023, 9:01 pm
For individuals, the compliance costs could be disproportionately large relative to their financial activity. [read post]
18 Jul 2009, 7:31 am
Not surprisingly, the SEC has focused its attention on cases related to the financial crisis. [read post]
18 Nov 2014, 6:46 am
The benefits received by the nuns in this case, such as in-kind donations and travel reimbursements, were simply incidental to their work rather than valuable financial consideration exchanged for their services. [read post]
3 Apr 2024, 9:01 pm
One need look no further than last week’s sentencing of Samuel Bankman-Fried to see the impact of noncompliance.[12] In advance of the sentencing, the Department of Justice filed hundreds of victim statements with the court.[13] The victim statements reflect the incredibly broad cross-section of people who were harmed by the fraud that Bankman-Fried was convicted of: single parents, retirees, young people, grandparents. [read post]
17 Aug 2018, 6:16 am
Halper, Ellen V. [read post]
21 Nov 2017, 11:23 am
Under that doctrine, pioneered in Chevron, U.S.A., Inc. v. [read post]
17 Jul 2023, 9:05 pm
Last Thursday’s split summary-judgment decision in the case that the Securities and Exchange Commission (SEC) brought against Ripple Labs, Inc. [read post]
19 Oct 2021, 10:10 am
Jan. 27, 2016); Bartnett v. [read post]
23 Jan 2023, 9:01 pm
” Because market makers can earn spreads with less risk on retail orders—in light of the typically smaller size and less market information driving retail orders—these wholesalers typically do not charge retail brokers fees for this service, and in fact often pay the retail brokers for the opportunity to trade with these retail orders (called “payment for order flow” or PFOF). [read post]
14 Apr 2016, 3:05 am
The staff observed that, although there are some prescriptive and structured elements, the current requirements are largely principles-based, with disclosure determined on the basis of “materiality” as defined in TSC Industries, Inc. v. [read post]
14 Apr 2016, 3:05 am
The staff observed that, although there are some prescriptive and structured elements, the current requirements are largely principles-based, with disclosure determined on the basis of “materiality” as defined in TSC Industries, Inc. v. [read post]
8 Feb 2019, 6:04 am
McIntosh, Wachtell, Lipton, Rosen & Katz, on Thursday, February 7, 2019 Tags: Accounting, Accounting standards, Board oversight, Boards of Directors, Compliance and disclosure interpretation, Financial reporting, GAAP, SEC, SEC enforcement, Securities enforcement, Securities regulation Amicus Brief of Law and Finance Professors in Verition Partners v. [read post]
2 Jun 2017, 6:25 am
Proxy Season Half-Time Update Posted by John Roe, Institutional Shareholder Services, Inc., on Wednesday, May 31, 2017 Tags: Boards of Directors, Disclosure, ESG, Executive Compensation, Institutional Investors, Say on frequency, Say on pay, Shareholder proposals, Shareholder voting, Sustainability What’s (Still) Wrong with Credit Ratings Posted by Frank Partnoy, University of San Diego, on Wednesday, May 31, 2017 Tags: Accountability, Credit risk, Defaults, Dodd-Frank… [read post]
12 Sep 2019, 8:42 am
Freedom Communications Inc., (10th Cir.), FTC v. [read post]
12 Dec 2017, 4:36 pm
The company, Munched, Inc. halted its ICO after being contacted by the SEC, and agreed to an order in which the Commission found that its conduct constituted unregistered securities offers and sales. [read post]
22 Jun 2011, 7:32 am
Massey Coal Co., Inc., 556 U.S. ___ (2009). [read post]
