Search for: "SEC v. Team Resources"
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10 May 2023, 8:39 am
(Team Resources Incorporated v. [read post]
16 Nov 2008, 6:00 pm
HousemanLaVeeda BattleKareem DaleMarilyn GoldenEnergy and Natural Resources Team LeadsDavid J. [read post]
21 Sep 2023, 5:47 am
Turning to recent actions, the July decision in SEC v. [read post]
9 Jun 2023, 12:26 pm
FTC and Cochran v. [read post]
5 Dec 2011, 10:24 am
For example, in SEC v. [read post]
23 May 2018, 7:15 am
The name of the website alludes to the 1946 Supreme Court case, SEC v. [read post]
10 Feb 2020, 7:35 am
SEC asking the same question, and request that their petition be held pending the decision in Liu (Team Resources Inc. v. [read post]
20 Aug 2020, 12:44 pm
Team Resources, Inc., No. 18-10931, 2020 WL 4722012 (5th Cir. [read post]
5 Oct 2020, 10:50 am
In a closely-watched cryptocurrency case, on September 30, the Southern District of New York ruled in favor of the SEC in SEC v. [read post]
24 Oct 2018, 5:53 am
Wolfe also drew attention to SEC v. [read post]
30 Apr 2014, 11:53 am
See FTC v. [read post]
2 Aug 2022, 11:04 am
The SEC’s jurisdictional argument is based upon the “Howey test,” as articulated in the 1946 Supreme Court case SEC v. [read post]
28 Aug 2020, 11:46 am
Team Resources, Inc., No. 18-10931, 2020 WL 4722012 (5th Cir. [read post]
16 Jun 2016, 2:48 pm
With respect to the entire incident, Morgan Stanley responded swiftly; responded with transparency (especially with its regulators and with law enforcement) and, most importantly, according to a spokesman, conducted an independent investigation, using both an independent legal team and an independent consulting team, to truly understand its failures. [read post]
26 Jul 2023, 9:01 pm
Among others, I want to thank Mika Morse in the Chair’s office, Luna Bloom and her team in the Division of Corporation Finance, the Division of Economic and Risk Analysis, the Office of General Counsel, and others throughout the Commission. [read post]
12 Apr 2022, 9:01 pm
The first disclosures revolved around companies’ financial performance, who runs the company, and how much of a company’s resources were dedicated to paying those executives. [read post]
2 Apr 2010, 9:25 am
Fields v. [read post]
3 Apr 2024, 9:01 pm
Given the stakes and the resources available to our adversaries, they have been among the most hard fought that I’ve seen in my career. [read post]
29 Jan 2018, 11:28 pm
Pursuing gatekeepers was also the most targeted and effective way of leveraging the SEC’s limited enforcement resources while also packing the most powerful punch. [read post]
12 Mar 2018, 12:42 am
The 2018 SEC Guidance encourages companies to implement policies, practices and procedures mandating that important cyber risk and incident information escalate “up the chain,” from IT teams to senior management, allowing for informed, intelligent and knowledgeable decisions. [read post]
