Search for: "STATE v. HESTER"
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8 Nov 2022, 9:05 pm
In the 2015 case of Reed v. [read post]
3 Aug 2018, 6:10 am
Fiduciary Posted by Hester M. [read post]
3 May 2023, 9:03 pm
”See,e.g., Hester M. [read post]
9 Jul 2021, 7:07 am
While Gensler said this will begin to set the PCAOB "on a path to better protect investors," Commissioners Hester Peirce and Elad Roisman called the decision "hasty and truncated. [read post]
19 Jan 2018, 6:30 am
Hamm (The Ohio State University), Michael J. [read post]
11 Mar 2022, 1:05 pm
In addition, the SEC took the position that the BIAs are notes under the four-part test articulated in Reves v. [read post]
2 Sep 2022, 6:30 am
FEC, Disclosure, Political spending, State law, Taxation SEC Bulletin on Conflicts of Interest for Broker-Dealers and Investment Advisers Posted by W. [read post]
25 Apr 2024, 9:05 pm
For example, in Liu v. [read post]
13 Sep 2009, 7:24 pm
Supp. 1327, 1334 (D.S.C. 1992) (§ 1703(a)(1)(C)), or its pre-1979 statutory predecessors, Hester v. [read post]
8 Oct 2020, 3:03 am
” In her statement in support of the proposal, Commissioner Hester M. [read post]
13 Feb 2023, 7:28 am
By Mark S. [read post]
30 Jan 2024, 9:02 pm
”[2] In that same policy, the Commission articulated its belief “that a refusal to admit the allegations is equivalent to a denial, unless the defendant or respondent states that he neither admits nor denies the allegations. [read post]
5 Mar 2020, 1:49 pm
” — Kristina Littman, as newly appointed SEC Cyber Chief in her 2020 breakout enforcement action, SEC v. [read post]
18 Jul 2022, 11:30 pm
In the landmark decision SEC v. [read post]
22 Apr 2019, 4:53 pm
On February 8, 2019, SEC Commissioner Hester Peirce provided remarks concerning regulation and innovation. [read post]
6 Sep 2023, 9:01 pm
When it approved the CAT, the Commission stated that plan participants could “recoup their regulatory costs . . . through the collection of fees from their members, as long as such fees are reasonable, equitably allocated, and not unfairly discriminatory. [read post]
28 Mar 2023, 9:01 pm
In a statement, Commissioner Hester Peirce objected to the proposed amendments as overly prescriptive. [read post]
27 Jun 2023, 9:01 pm
Congress has been very clear in the federal securities laws when it intends to preempt state law, such as in the National Securities Markets Improvement Act[44] or the Jumpstart Our Business Startups Act.[45] Indeed, such a broad claim of Commission authority might raise issues under the major questions doctrine discussed in West Virginia v. [read post]
24 Oct 2019, 2:40 pm
The Telegram TRO Dating back to as early as 2014, the SEC began bringing enforcement actions relating to cryptocurrency, and with its October 11, 2019 filing of SEC v. [read post]
3 Oct 2023, 9:01 pm
July 3, 2023, settled) SEC v. [read post]
