Search for: "SEC v. National Securities, Inc."
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22 Apr 2015, 2:13 pm
Supreme Court’s 2014 ruling in Lawson v. [read post]
7 Apr 2015, 2:13 pm
" (Are We Now a Nation of Informants? [read post]
4 Apr 2015, 3:32 am
Since these investigations included allegations of possible securities law violations, the SEC found that these terms violated Rule 21F-17, which prohibits companies from taking any action to impede whistleblowers from reporting possible securities violations to the SEC. [read post]
11 Mar 2015, 5:33 am
The SEC also has urged the Second Circuit to upend Newman. [read post]
6 Mar 2015, 12:53 pm
ARBITRATION AGREEMENTS [warning language shown in red color]Sec. 74.451. [read post]
25 Feb 2015, 12:50 am
” Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
24 Feb 2015, 2:24 pm
SEC, and Chiarella v. [read post]
4 Feb 2015, 9:21 am
Holding Secs. [read post]
26 Jan 2015, 6:52 am
Tonkovic, J.D.The National Association of Manufacturers (NAM) has filed an amicus brief in support of Wal-Mart Stores, Inc.'s appeal regarding a shareholder proposal on gun sales. [read post]
15 Dec 2014, 6:28 am
Servs., Inc. [read post]
27 Nov 2014, 12:00 am
[v] Anti-Federal Reserve activists and Internet-world enthusiasts alike admire Bitcoin for not being controlled by any nation’s bank or centralized authority. [read post]
9 Nov 2014, 6:46 pm
See Zerbst v. [read post]
3 Nov 2014, 3:55 am
These moves followed quickly after the Delaware Supreme Court’s May 2014 ruling in the ATP Tour, Inc. v. [read post]
21 Oct 2014, 6:03 am
The other firms including Ameriprise Financial Inc., Lincoln National, Commonwealth Financial Network, Royal Alliance Associates, and Securities America. [read post]
4 Sep 2014, 3:19 am
[v] The SEC Certainly the majority of the federal activity on cyber security issues has come from the SEC. [read post]
2 Sep 2014, 4:27 am
Delaware Legislature Tables Measure to Address Fee-Shifting ByLaws: The Delaware Supreme Court stirred up quite a bit of controversy earlier this year in the ATP Tours, Inc. v. [read post]
27 Aug 2014, 5:16 pm
Hobby Lobby Stores, Inc. and Fifth Third Bancorp v. [read post]
15 Aug 2014, 2:27 pm
In I/P Engine, Inc. v. [read post]
13 Aug 2014, 3:59 am
”[v] If SEC or other proposed federal regulation of cybersecurity becomes a reality, implementing the Framework could be a mandatory exercise. [read post]
18 Jul 2014, 10:40 am
The National Futures Association (“NFA”) announced that effective on June 1, 2014 it will impose a $1,000 late fee when a firm or individual does not disclose a disciplinary matter upon registration or fails to promptly update an existing registration to disclose a new disciplinary matter. [read post]
