Search for: "Securities & Exchange Commission v. Topping"
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21 Apr 2025, 5:30 am
Key quote “Tim is a natural fit in our Washington office, which is home to a host of former leaders from various U.S. government agencies, including the Department of Justice, Securities and Exchange Commission, Federal Trade Commission, Treasury Department, Department of Commerce and Department of Energy. [read post]
14 Apr 2025, 9:05 pm
Securities and Exchange Commission and United States v. [read post]
9 Apr 2025, 1:56 pm
On January 13, 2025, the Securities and Exchange Commission (the “SEC”) announced charges against 12 firms, including both investment advisers and broker-dealers, for violating the recordkeeping requirements of the Investment Advisers Act of 1940 (the “Advisers Act”) and the Securities and Exchange Act of 1934, as amended (the “Securities Act”). [read post]
31 Mar 2025, 3:10 pm
” The fact sheet identified the FTC, along with the Federal Communications Commission (FCC) and the Securities and Exchange Commission (SEC), as among the “[s]o-called independent agencies” that were to be reigned in. [read post]
31 Mar 2025, 6:58 am
An actual conflict exists where an attorney has ‘divided and incompatible loyalties within the same matter necessarily preclusive of single-minded advocacy,’ whereas a potential conflict is one that may never be realized (People v Cortez, 22 NY3d 1061, 1068 [2014]). [read post]
13 Feb 2025, 9:05 pm
” The Securities and Exchange Commission (SEC) is halting its defense of a rule that would require public companies to disclose detailed information about their impact on the climate and environment. [read post]
12 Feb 2025, 2:18 pm
So pursuant to the Securities Exchange Act’s authority over “proxy solicitation[s],” the SEC issued a rule in 2020 that changed when PVABs could be exempt from certain requirements for solicitations. [read post]
6 Jan 2025, 9:07 am
Supreme Court’s June 2024 decision in the SEC v. [read post]
2 Jan 2025, 9:05 pm
Securities and Exchange Commission (SEC) approved bitcoin exchange-traded funds (ETFs), allowing investors to buy and sell bitcoin just like stocks and other financial instruments. [read post]
13 Dec 2024, 1:18 pm
Securities and Exchange Commission’s (the “SEC”) Division of Examinations (the “Division”) has published its Examination Priorities for the upcoming fiscal year 2025. [read post]
22 Nov 2024, 12:20 pm
Yesterday (November 21), the Securities and Exchange Commission (SEC) announced current SEC Chair Gary Gensler will leave the agency on January 20, 2025 when President-elect Donald Trump takes office. [read post]
20 Nov 2024, 12:29 pm
This might include payments for services rendered, product sales, commission, or tips, to name just a few. [read post]
18 Nov 2024, 8:49 am
Senate Homeland Security and Governmental Affairs Committee: In July, the Senate Homeland Security Committee voted to advance the PREPARED for AI Act (S.4495). [read post]
3 Nov 2024, 9:05 pm
Department of Health and Human Services (HHS), such as the Department of Education, Department of Labor, Federal Aviation Administration, and Securities Exchange Commission. [read post]
20 Sep 2024, 3:00 am
Since the fall of Roe v. [read post]
17 Sep 2024, 2:22 pm
In the Express Scripts, Inc. v. [read post]
27 Aug 2024, 9:01 pm
SDNY Judge Holds SEC Failed to Adequately Plead Risk Disclosure and Controls Claims in SolarWinds On July 18, 2024, the United States District Court for the Southern District of New York issued an opinion in Securities and Exchange Commission v. [read post]
23 Aug 2024, 1:49 am
In its July 23, 2024, ruling, which Rappler obtained on August 9, 2024, the Court of Appeals Special 7th Division restored Rappler’s license and voided the shutdown order imposed by the Securities and Exchange Commission (SEC) in 2018. [read post]
22 Aug 2024, 6:30 am
Securities and Exchange Commission’s (the “SEC” or “Commission”) exercise of its authority in important ways. [read post]
22 Aug 2024, 6:30 am
Securities and Exchange Commission’s (the “SEC” or “Commission”) exercise of its authority in important ways. [read post]
