Search for: "SEC v. Davis"
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25 May 2022, 9:44 am
SEC, which held that SEC ALJs are inferior executive officers, and Free Enterprise Fund v. [read post]
26 Feb 2007, 9:48 am
Accounting and Auditing Enforcement Release No. 2565 / February 26, 2007 SEC v. [read post]
5 Feb 2014, 6:16 am
Nearly a year ago, in Greenlight Capital, L.P. v. [read post]
9 Jul 2018, 6:25 am
The Supreme Court’s opinion in Lucia v. [read post]
20 Jul 2009, 11:23 am
(EDITOR’S UPDATE: The recent decision of the Court of Appeals for the Second Circuit in SEC v. [read post]
3 Oct 2023, 9:01 pm
July 3, 2023, settled) SEC v. [read post]
28 Mar 2023, 9:01 pm
This summary must include (i) the person or persons affected; (ii) the date the incident was discovered and whether it is ongoing; (iii) whether any data was stolen, altered, accessed or used for any unauthorized purpose; (iv) the effect of the incident on the entity’s operations; and (v) whether the incident has been remediated or is currently being remediated. [read post]
16 May 2016, 5:33 am
Securities and Exchange Commission, Plaintiff, v. [read post]
13 Aug 2018, 6:31 am
This post is based on a Davis Polk memorandum by Ms. [read post]
16 Aug 2011, 7:35 am
Davis v. [read post]
21 Nov 2019, 6:27 am
This view has come under fire since Kokesh v. [read post]
3 Mar 2021, 5:49 am
In a recently issued administrative order, the SEC implicitly acknowledged that the limiting principles for disgorgement that the Supreme Court outlined in Liu v. [read post]
13 Jan 2015, 3:57 am
For some SEC-related precedent, consider the 1988 Eighth Circuit case – Antoniu v. [read post]
25 Oct 2022, 6:15 am
SEC (U.S. 2018) and Free Enterprise Fund v. [read post]
23 Jan 2023, 9:01 pm
The SEC suggests that it expects qualifying auctions would result in better execution. [read post]
10 Dec 2018, 4:11 am
In Lorenzo v. [read post]
1 Nov 2016, 9:45 am
Ambiguity in the statute warrants deference to the SEC’s rule under Chevron, the agency argues (Danon v. [read post]
4 Jan 2019, 3:33 am
Here’s the intro from this blog by Davis Polk’s Ning Chiu: The SEC instituted a cease-and-desist proceeding in a fairly straightforward enforcement action that nonetheless emphasizes the importance of the requirement that GAAP measures must be provided with “equal or greater prominence” when a company discloses non-GAAP measures. [read post]
10 Aug 2017, 6:08 am
The DAO 21(a) report focused on a fact-pattern where the classic test for a “security” under federal law, announced in the Supreme Court’s 1946 case SEC v. [read post]
4 Apr 2017, 2:54 am
District Court entered final judgment in National Association of Manufacturers v. [read post]
