Search for: "SEC v. National Securities, Inc."
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26 Apr 2017, 4:08 pm
See National Cable & Telecommunications Association v. [read post]
25 Apr 2017, 3:21 pm
See, Businesses Must Confirm & Clean Up Health Plan ACA & Other Compliance Following Supreme Court’s King v. [read post]
29 Mar 2017, 3:49 am
Supreme Court granted certiorari in Leidos, Inc. v. [read post]
27 Mar 2017, 3:09 pm
The Court’s grant of the writ of certiorari in the case of Leidos, Inc. v. [read post]
24 Mar 2017, 7:24 am
Bank National Association v. [read post]
23 Mar 2017, 11:20 am
Leidos, Inc. v. [read post]
14 Mar 2017, 4:27 am
Securities and Exchange Commission, in which the court will decide whether that the five-year statute of limitations on SEC enforcement actions applies to actions seeking disgorgement, arguing that “prior precedent, along with the historical practice, strongly suggests that the SEC is trying to circumvent the statute by essentially calling a dog a cat. [read post]
1 Mar 2017, 5:00 am
National security exchanges are self-regulatory organizations (“SRO”) subject to the Securities and Exchange Commission’s (“SEC”) approval and oversight. [read post]
24 Feb 2017, 5:00 am
Defendants, national Securities Exchanges (the “Exchanges”), provide information about securities traded on the Exchanges to an exclusive securities processor (“Processor”) pursuant to Regulation National Market System (”Reg NMS”). [read post]
17 Feb 2017, 12:21 pm
ANZ Securities, Inc. [read post]
17 Feb 2017, 6:56 am
Inc. [read post]
18 Jan 2017, 8:10 am
ANZ Secs., Inc., No. 16-373 (SCOTUSblog page) involves whether, under the class action tolling rule of American Pipe & Constr. [read post]
21 Dec 2016, 7:19 am
The National Whistleblower Center filed an amicus (friend of the court) brief in support of the whistleblowers in State Farm Fire and Casualty Company v. [read post]
6 Oct 2016, 9:30 pm
Department of Justice (DOJ) asking the Court to rehear U.S. v. [read post]
29 Aug 2016, 4:00 am
[The National Association for Fixed Annuities, et al, v. [read post]
26 Jul 2016, 7:47 am
The SEC action involved allegations of fraud and violations of the Securities Exchange Act by a public company. [read post]
16 Jun 2016, 2:48 pm
Securities and Exchange Commission’s (SEC’s) cybersecurity regulatory and enforcement onslaught continues . . . [read post]
23 May 2016, 10:12 am
Brochu had been permanently barred from any securities industry dealings in the state of New Hampshire, the SEC barred Brochu from an association with any broker, dealer, investment adviser, municipal securities dealer, municipal adviser, transfer agent, or nationally recognized statistical rating organization.A resident of Wells, Maine, Brochu registered his company Kleossum, Inc. with the SEC in 2010 and then with the state of New Hampshire in… [read post]
19 May 2016, 2:33 pm
[vii] CSC entered into a contract with the United Kingdom’s National Health Service (“NHS”) to build an electronic patient-record system. [read post]
13 Apr 2016, 4:55 pm
John is the President of John Reed Stark Consulting and former Chief of the SEC’s Office of Internet Enforcement. [read post]
