Search for: "SEC v. Tier"
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18 Apr 2016, 7:44 am
The states have asked the court to vacate the rule, contending that the SEC’s failure to impose any meaningful standards on the “qualified purchasers” eligible to invest in Tier 2 offerings oversteps the authority delegated to the Commission under the JOBS Act and strip investors of valuable state law protections (SEC v. [read post]
15 Oct 2015, 7:15 am
The group said its members would bear the adverse consequences of striking the preemption provision, a result sought by the states of Montana and Massachusetts in their suit against the SEC (Lindeen v. [read post]
18 Jun 2015, 4:00 am
SEC and Galvin v. [read post]
29 Oct 2015, 7:18 am
The amendments also create two tiers of offerings under Regulation A while preempting Tier 2 offerings of up to $50 million from state regulation. [read post]
28 May 2015, 6:07 am
SEC, May 22, 2015, Galvin v. [read post]
3 Dec 2018, 5:00 am
Lucia now argues that the SEC’s compliance with this decision removes only part of the constitutional infirmity surrounding the agency’s ALJs because they still enjoy too many layers of tenure protection (Lucia v. [read post]
15 Jun 2016, 5:57 am
The appellate panel also rejected arguments that amended Regulation A should be vacated as arbitrary and capricious because the SEC failed to explain adequately how the rule protects investors (Lindeen v. [read post]
21 Oct 2020, 6:29 am
” The post SEC Proposes Conditional Exemption for “Finders” Involved in Capital Raising appeared first on Brown Rudnick. [read post]
16 Nov 2021, 6:08 am
Zenergy International, Inc. and an $80,000 penalty against the orchestrator of a pump-and-dump scheme in SEC v. [read post]
5 Apr 2017, 6:57 am
The Commission rejected the respondents’ appeal based on the recent Tenth Circuit case Bandimere v. [read post]
6 Aug 2015, 6:18 am
Courts have also struggled with this ambiguity (see e.g., Somers v. [read post]
24 May 2014, 5:00 am
Following up on Steven Bradford’s post regarding the Fourth Circuit’s interpretation of Janus Capital Group v. [read post]
22 Jun 2020, 4:17 pm
David TopolIn its June 2017 decision in Kokesh v. [read post]
8 Oct 2020, 3:03 am
This excerpt from the SEC’s press release summarizes the two classes of finders – see the complete press release for a summary of the applicable conditions: Tier I Finders A Tier I Finder would be limited to providing contact information of potential investors in connection with only a single capital raising transaction by a single issuer in a 12 month period. [read post]
27 Nov 2023, 8:30 am
” Jarkesy has a simple argument here, because it is difficult to contest that the SEC’s administrative law judges have two tiers of protection against removal without cause. [read post]
9 Mar 2011, 6:05 pm
SEC v. [read post]
25 May 2022, 6:22 am
A multi-tiered data market will be even more asymmetrical than a two-tiered one, the exchanges argued. [read post]
29 Oct 2013, 6:50 am
Noting that the interplay between the Dodd-Frank whistleblower and anti-retaliation provisions was ambiguous, a federal district court in New York looked to the SEC’s interpretation of a rule, found an employee need not report his potential fraud to the SEC to obtain protection against retaliation, and denied the employer’s motion to dismiss (Rosenblum v. [read post]
18 Dec 2006, 12:29 pm
It also denied the SEC's motion requesting a third tier civil penalty, noting about the defendant that "it appears that she was influenced to enter and continue the scheme by her co-conspirator. [read post]
4 Sep 2019, 6:52 am
SEC and denied challenges to the remedies calculations (SEC v. de Maison, August 30, 2019, per curiam). [read post]
