Search for: "SEC v. National Securities, Inc."
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22 Oct 2023, 9:01 pm
Morgan Stanley split from the Ninth Circuit, finding that a violation of Item 303 would be actionable under Section 10(b) and Rule 10b-5 if plaintiffs met the materiality requirements set forth in Basic Inc. v. [read post]
20 Oct 2023, 2:40 pm
In a September 11, 2023 press release, the Securities and Exchange Commission (“SEC”) announced that it charged nine registered investment advisers for showing hypothetical performance results on their websites without adopting the necessary policies and procedures required under the SEC’s new marketing rules and regulations (the “New Marketing Rules”). [read post]
11 Oct 2023, 11:17 am
FTC, in which the Supreme Court more recently held that a plaintiff’s structural constitutional claim was not preempted by the SEC’s administrative review scheme. [read post]
9 Oct 2023, 1:52 pm
Roman v. [read post]
4 Oct 2023, 7:54 am
Today, the Fifth Circuit will be hearing oral arguments in National Horsemen's Benevolent and Protective Association v. [read post]
5 Sep 2023, 9:05 pm
Supreme Court next term of Securities and Exchange Commission v. [read post]
1 Sep 2023, 6:30 am
SEC in Securities Enforcement Cases Posted by J.W. [read post]
1 Sep 2023, 6:30 am
SEC in Securities Enforcement Cases Posted by J.W. [read post]
27 Aug 2023, 3:56 pm
On August 14, 2023, a Fulton County, Georgia grand jury returned a 41-count indictment against former President Donald Trump and eighteen other individuals for a conspiracy to overturn the legitimate 2020 presidential election results in that state. [read post]
16 Aug 2023, 4:35 am
” Via SEC v. [read post]
14 Aug 2023, 4:58 am
Bittrex, Inc. [read post]
11 Aug 2023, 12:01 pm
” Chief among these cases is the SEC’s recent case charging that Coinbase, Inc. allowed the trading of crypto asset securities on its allegedly unregistered national securities exchange and that Coinbase also acted as an unregistered broker and unregistered clearing agency. [read post]
2 Aug 2023, 9:33 pm
National Religious Broadcasters Noncommercial Music License Committee v. [read post]
26 Jul 2023, 9:01 pm
The narrow law enforcement exception to the four-day reporting requirement is available only if there is a “substantial risk to national security or public safety” and only with the approval of the U.S. [read post]
16 Jul 2023, 9:01 pm
InCoinbase, Inc. [read post]
13 Jul 2023, 12:06 pm
This Nation’s constitutional history does not tolerate that choice. [read post]
11 Jul 2023, 9:14 am
Bittrex, Inc., June 30, 2023).In a separate motion to dismiss, Bittrex’s foreign affiliate, Bittrex Global GmbH, argues the SEC failed to show that Bittrex Global acted as an exchange for domestic securities transactions.The SEC charged Bittrex, Inc. and its former CEO in April with operating an unregistered national securities exchange, broker and clearing agency. [read post]
29 Jun 2023, 3:33 pm
(relisted after the June 22 conference) Securities and Exchange Commission v. [read post]
27 Jun 2023, 9:01 pm
Congress has been very clear in the federal securities laws when it intends to preempt state law, such as in the National Securities Markets Improvement Act[44] or the Jumpstart Our Business Startups Act.[45] Indeed, such a broad claim of Commission authority might raise issues under the major questions doctrine discussed in West Virginia v. [read post]
29 May 2023, 1:26 pm
Petitioners v. [read post]
