Search for: "SEC v. Wills" Results 21 - 40 of 552
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27 Feb 2019, 6:47 am by John Jascob
The SEC counters that a violation need not be willful in order to find contempt and that Musk’s claim is undermined by the two-day expiration date on preapprovals. [read post]
15 Nov 2019, 2:35 am
In the Matter of the Arbitration Between Lee Tockman, Claimant, v. [read post]
2 Sep 2010, 5:01 pm by James Hamilton
In a comment letter to the SEC, SIFMA said that Dodd-Frank driven SEC regulations establishing a uniform federal fiduciary standard for brokers and advisers should be broadly guided by the dual principles of individual investor protection and individual investor choice. [read post]
Congress made this significant expansion in the SEC’s disgorgement authority in response to the Supreme Court’s decision in Kokesh v. [read post]
1 May 2013, 8:10 am by Doug Cornelius
He was not willing to place a wager on which option will come to fruition, if any. [read post]
12 Jul 2022, 6:28 am
In our view, the SEC is committed to adopting broad and extensive climate-related disclosures and is willing to face legal challenges to its final rule. [read post]
12 Jul 2022, 6:28 am
In our view, the SEC is committed to adopting broad and extensive climate-related disclosures and is willing to face legal challenges to its final rule. [read post]
23 Feb 2022, 7:49 am by Alexander J. Davie
The audit must be distributed “promptly”, though the SEC declined to provide a fixed deadline. [read post]
16 Oct 2017, 7:00 am by Natasha Gálvez
 It was a really interesting process, and I found the cases, which mostly dealt with personal rights, like Brown v. [read post]