Search for: "SEC v. National Securities, Inc." Results 21 - 40 of 495
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11 Aug 2024, 9:01 pm by renholding
”[7]  By “traditional notions,” the Adopting Release refers to other SEC regulations and relevant Supreme Court case law (in particular, TSC Industries v. [read post]
3 Jul 2024, 2:41 pm by Ben Sperry
Bank, 283 F.3d 953, 961 (8th Cir. 2002) (quoting Chevron, U.S.A., Inc. v. [read post]
1 Jul 2024, 10:00 am by Katherine White
Natural Resources Defense Council, Inc., and in Jarkesy v. [read post]
27 Jun 2024, 9:05 pm by Matthew Chagares
The majority applied the Court’s recent New York State Rifle & Pistol Association, Inc. v. [read post]
24 May 2024, 11:03 am by Seeger Weiss
She also has extensive experience representing whistleblowers in False Claims Act lawsuits and tax and securities whistleblowers with claims under the IRS and SEC whistleblower programs. [read post]
21 May 2024, 9:01 pm by renholding
This determination is an objective standard, and it is intended to be construed in a manner consistent with the SEC’s framework in Regulation Best Interest for assessing whether a broker-dealer has made a recommendation to a retail investor. [read post]
3 May 2024, 6:30 am
Verret (George Mason University), and Greg Lawrence (Lawrence Law), on Monday, April 29, 2024 Tags: Insider trading, Punawat, SEC, SEC v. [read post]
3 May 2024, 6:30 am
Verret (George Mason University), and Greg Lawrence (Lawrence Law), on Monday, April 29, 2024 Tags: Insider trading, Punawat, SEC, SEC v. [read post]