Search for: "SEC v. Oxford Capital Securities, Inc."
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17 Aug 2018, 6:16 am
Hermsen, Mayer Brown LLP, on Friday, August 10, 2018 Tags: Capital formation, Disclosure, Equity offerings, Equity-based compensation, Form S-8, IPOs, Registration statements, Rule 701(e), SEC, Securities Act, Securities regulation, Stock options Shedding the Status of Bank Holding Company Posted by V. [read post]
1 Feb 2023, 9:01 pm
Before I begin, let me make my standard disclaimer – the views I express today are my own and do not necessarily represent the views of the SEC or my fellow Commissioners. [read post]
28 Nov 2014, 9:56 am
Consultants, Inc., Anthony B. [read post]
2 Jun 2016, 5:23 am
Medical Capital Holdings, Inc.; Medical Capital Corporation; Medical Provider Funding Corporation VI; Sidney M. [read post]
19 Jul 2019, 5:57 am
Securities and Exchange Commission, on Tuesday, July 16, 2019 Tags: Capital formation, Equity offerings, Investor protection, Opportunity Zones, Retail investors, SEC, Securities regulation, Small firms Staff Statement on LIBOR Transition Posted by William H. [read post]
5 Mar 2021, 6:03 am
Silk, Sabastian V. [read post]
2 Jun 2023, 6:30 am
Rosenthal, and Christopher Soares, Dechert LLP, on Friday, May 26, 2023 Tags: Beneficial owners, Disclosure, Monetary policy, Risk, SEC enforcement, Securities Exchange Act of 1934 Florida Passes Farthest-Reaching Anti-ESG Law to Date Posted by Leah Malone and Emily B. [read post]
2 Jun 2023, 6:30 am
Rosenthal, and Christopher Soares, Dechert LLP, on Friday, May 26, 2023 Tags: Beneficial owners, Disclosure, Monetary policy, Risk, SEC enforcement, Securities Exchange Act of 1934 Florida Passes Farthest-Reaching Anti-ESG Law to Date Posted by Leah Malone and Emily B. [read post]
13 Sep 2010, 1:04 am
Kaplan, former president of G-V Capital Corp., which as a company pleaded guilty to criminal fraud charges in 2004 in connection with a broader manipulation scheme by several brokerages, including Walsh Manning Securities Inc. and J.B. [read post]
23 Jul 2021, 6:06 am
Silk, Sabastian V. [read post]
3 Dec 2021, 6:06 am
Posted by Mark Roe (Harvard Law School), on Wednesday, December 1, 2021 Tags: Agency costs, Corporate purpose, ESG, Hedge funds, Human capital, Securities litigation, Shareholder primacy, Stakeholders Risks to Those Who Facilitate Ransomware Payments Posted by Antonia M. [read post]
25 Jan 2019, 5:58 am
Katz, and Sabastian V. [read post]
26 Apr 2019, 5:55 am
Aruba Networks, Inc. [read post]
10 May 2010, 11:30 pm
His book on International Commercial Litigation was published by Oxford University Press in February 2010. [read post]
8 Sep 2015, 5:08 pm
The dust-up in Delaware over fee-shifting bylaws got started in May 2014, when the Delaware Supreme Court in the ATP Tours, Inc. v. [read post]
