Search for: "Securities & Exchange Commission v. Topping"
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4 Jan 2018, 8:32 am
Though some agencies, like the Securities and Exchange Commission, have chosen a soft entry into regulation by first issuing proactive guidance, others, including the Internal Revenue Service (IRS), have opted to go directly into enforcement actions. [read post]
26 Dec 2017, 9:30 pm
Supreme Court in Kokesh v. [read post]
25 Dec 2017, 9:40 pm
The Regulatory Review is pleased to highlight our top fifty regulatory essays of 2017 authored by outside contributors. [read post]
25 Dec 2017, 9:40 pm
The Regulatory Review is pleased to highlight our top fifty regulatory essays of 2017 authored by outside contributors. [read post]
15 Dec 2017, 9:01 am
As we head into 2018, we have put together this checklist and update to help managers stay on top of the business and regulatory landscape for the coming year. [read post]
15 Dec 2017, 9:01 am
As we head into 2018, we have put together this checklist and update to help managers stay on top of the business and regulatory landscape for the coming year. [read post]
12 Dec 2017, 7:41 am
Clearly, the Securities and Exchange Commission is very focused on cybersecurity. [read post]
23 Oct 2017, 4:22 pm
For example, the Securities and Exchange Commission and the New York Department of Financial Services have both announced their intentions to hold directors and officers to a responsible standard when it comes to preventing and responding to cybersecurity incidents. [read post]
23 Oct 2017, 4:22 pm
For example, the Securities and Exchange Commission and the New York Department of Financial Services have both announced their intentions to hold directors and officers to a responsible standard when it comes to preventing and responding to cybersecurity incidents. [read post]
3 Oct 2017, 11:14 am
Vanessa Sauter flagged an amicus brief from Orin Kerr submitted in Carpenter v. [read post]
2 Oct 2017, 4:50 pm
2005: SEC v. [read post]
29 Aug 2017, 6:00 am
Although the ICO concept has gained traction very quickly and allowed various companies to raise over a billion dollars’ worth of digital currency directly from investors, many have suspected that ICOs, like their IPO counterparts, involve the issuance of securities; however, until recently, the Securities and Exchange Commission (SEC) had not yet weighed in. [read post]
12 Aug 2017, 9:10 pm
Disney had to report its payment to the Securities and Exchange Commission (SEC), so we know that much. [read post]
4 Aug 2017, 4:50 pm
(Note that FINRA decisions can be appealed to the Securities and Exchange Commission, a governmental body.) 3. [read post]
24 Jul 2017, 10:11 am
Sept. 8, 2016), the indictment charged the chief financial officer of a publicly-traded real estate investment trust with securities fraud in connection with his alleged fraudulent inflation of a key metric used to evaluate a REIT’s financial performance in filings made with the Securities and Exchange Commission. [read post]
21 Jul 2017, 6:04 am
Pastuszenski, Goodwin Procter LLP, on Tuesday, July 18, 2017 Tags: California, Class actions, Jurisdiction, New York, PSLRA, Securities Act, Securities litigation, Shareholder suits, SLUSA, State law, Supreme Court CalPERS v. [read post]
27 Jun 2017, 12:59 pm
Another case likely to reach the court next term concerns the constitutionality of the Securities and Exchange Commission’s administrative law judges. [read post]
20 Jun 2017, 12:41 pm
The report also identifies the top 50 settlements obtained by the Securities and Exchange Commission, based on the sum of disgorgements and civil penalties. [read post]
11 Jun 2017, 9:05 pm
” [Veronique de Rugy, more] Tags: Dodd-Frank, FATCA, Foreign Corrupt Practices Act, Securities and Exchange Commission, statutes of limitations, Supreme Court Banking and finance roundup is a post from Overlawyered - Chronicling the high cost of our legal system [read post]
6 Jun 2017, 8:06 am
Securities and Exchange Commission, yesterday’s 9-0 opinion siding with appellant Charles Kokesh and determining that SEC disgorgement actions are subject to a statute of limitations hardly called for stopping the presses. [read post]
