Search for: "SEC v. National Securities, Inc." Results 141 - 160 of 485
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21 Dec 2011, 12:40 am by Kevin LaCroix
  A 1987 New York Court of Appeals decision, CPC International, Inc. v. [read post]
30 Sep 2010, 6:45 am by David G. Badertscher
Court of Appeals, Second CircuitBusiness Law Judge Exceeded Authority in Ordering Wiretaps Turned Over to SEC in Galleon Case Securities and Exchange Commission v. [read post]
6 Mar 2014, 10:03 am by John Stigi
The Court’s decision in Chadbourne would appear to limit SLUSA to cases where plaintiffs allegedly purchased, sold or held (see Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
13 Aug 2014, 3:59 am by Kevin LaCroix
”[v] If SEC or other proposed federal regulation of cybersecurity becomes a reality, implementing the Framework could be a mandatory exercise. [read post]
18 Jan 2017, 8:10 am by Wystan Ackerman
ANZ Secs., Inc., No. 16-373 (SCOTUSblog page) involves whether, under the class action tolling rule of American Pipe & Constr. [read post]
3 Nov 2017, 10:51 am by Amanda Pickens
October 12, 2017) (class action brought under federal securities laws alleging defendants issued a false and misleading registration statement with the SEC regarding a proposed merger with Select Bank & Trust Company, which allegedly denies shareholders information needed to make sound future decisions.) [read post]
5 Apr 2009, 1:26 pm
The SEC also launched an investigation of credit rating agencies, and, on February 2, 2009, adopted amendments to the rules governing nationally recognized statistical rating organizations to address concerns about the integrity of the process by which rating agencies rate structured finance products.[12] The SEC has filed civil charges against a number of market participants. [read post]
26 Feb 2010, 5:00 am by Doug Cornelius
How To Write a Code of Ethics by Josh Spiro in Inc. [read post]