Search for: "SEC v. National Securities, Inc."
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9 Oct 2023, 1:52 pm
Roman v. [read post]
23 Oct 2017, 4:22 pm
In the SEC’s Examination Priorities, published on January 12, 2017, the SEC warned publicly traded companies that it will be investigating cybersecurity practices with higher scrutiny.[18] Specifically, the SEC states that “[i]n 2017, we will continue our initiative to examine for cybersecurity compliance procedures and controls, including testing and implementation of those procedures and controls. [read post]
23 Oct 2017, 4:22 pm
In the SEC’s Examination Priorities, published on January 12, 2017, the SEC warned publicly traded companies that it will be investigating cybersecurity practices with higher scrutiny.[18] Specifically, the SEC states that “[i]n 2017, we will continue our initiative to examine for cybersecurity compliance procedures and controls, including testing and implementation of those procedures and controls. [read post]
15 Apr 2020, 6:06 am
3M Company v. [read post]
11 Jan 2016, 3:10 pm
American Furukawa, Inc. v. [read post]
10 May 2009, 5:53 pm
Penguin Group (USA) Inc., et al. [read post]
9 Sep 2024, 9:01 pm
Board of Governors of the Federal Reserve and Securities and Exchange Commission v. [read post]
16 Jan 2013, 12:36 am
Supreme Court decision, Atherton v. [read post]
29 Mar 2007, 1:15 am
In Axcan Scandipharm v. [read post]
19 Jan 2012, 3:49 pm
It's been a while since I taught Securities Regulation, but my recollection is that the SEC takes the position that shareholder rights under the securities laws cannot be subject to mandatory arbitration. [read post]
1 May 2018, 4:14 am
” At Arbitration Nation, Liz Kramer observes that when the court rules in the third new case, Lamps Plus Inc. v. [read post]
20 Aug 2024, 6:57 am
SEC, 585 U.S. 237 (2018); (2) Stern v. [read post]
3 Jun 2015, 1:08 pm
Louis V. [read post]
25 Nov 2018, 9:01 pm
The National Association of Corporate Directors noted that rewards for whistleblowers may injure companies’ internal compliance programs, because they might provide employees incentive to approach the Commission rather than report their findings through the employers’ programs.The Bechtel v. [read post]
23 Mar 2012, 10:08 am
The Supreme Court has made clear in Community Communications Co., Inc. v. [read post]
17 Aug 2009, 4:20 am
The servicer in Taylor was HSBC Mortgage Corp; the out-source provider was Lender Processing Services, Inc., f/ka/ Fidelity National Information Services, Inc.; the national law firm was Moss Codilis LLP; and the local law firm Udren Law Office. [read post]
14 Mar 2016, 2:56 am
In Hantz Financial Services, Inc. v. [read post]
22 Jan 2025, 2:59 am
Sec. 2. [read post]
14 Feb 2012, 7:30 pm
E.g., Smith v. [read post]
2 Jan 2024, 12:56 pm
Please note that these figures include only federal court securities suit filings; the numbers do not include securities class action lawsuits filed in state court. [read post]
