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3 Feb 2017, 6:04 am
Securities and Exchange Commission, on Monday, January 30, 2017 Tags: Broker-dealers, Capital formation, Disclosure, Dodd-Frank Act, Financial regulation, Financial technology, Investor protection, JOBS Act, SEC, SEC enforcement, Securities enforcement, Securities regulation The Common Law Corporation: The Power of the Trust in Anglo-American Business History Posted by John D. [read post]
Continuing our annual tradition, we present the top developments/headlines for 2016 in trade secret, computer fraud, and non-compete law. [read post]
Continuing our annual tradition, we present the top developments/headlines for 2016 in trade secret, computer fraud, and non-compete law. [read post]
6 Jan 2017, 5:50 am by Justin S. Daniel
Securities and Exchange Commission, a choice which Trump said will advance “the financial security of the American people,” but which was reportedly criticized by progressive groups because of Clayton’s ties to the financial industry. [read post]
4 Jan 2017, 3:55 pm by nedaj
Managers that participate in soft dollar programs should make sure that they have addressed any commission balances from the previous year. [read post]
29 Dec 2016, 3:42 am by Broc Romanek
Here’s this WSJ article by Dave Michaels: A federal appeals court dealt a strong blow to Wall Street’s top cop this week, deciding that the Securities and Exchange Commission’s in-house courts don’t meet constitutional requirements. [read post]
21 Dec 2016, 7:19 am by Paul Lyons
Securities and Exchange Commission’s whistleblower program hit several milestones over the course of 2016, including their first stand-alone action against a company for whistleblower retaliation. [read post]
12 Oct 2016, 12:12 pm by Jonathan H. Adler
Examples of independent agencies include well-known bodies such as the Federal Communications Commission, the Securities and Exchange Commission, the Federal Trade Commission, the National Labor Relations Board, and the Federal Energy Regulatory Commission. [read post]
6 Oct 2016, 9:30 pm by Justin Daniel
The Securities and Exchange Commission (SEC) announced that Credit Suisse AG agreed to pay a $90 million fine to settle charges that it misrepresented the methodology it used to determine an important wealth management performance metric. [read post]
29 Sep 2016, 9:30 pm by Justin Daniel
” The Securities and Exchange Commission (SEC) unanimously voted to propose a rule that would shorten the settlement time for broker-dealer securities transactions from three days, referred to as T+3, to two days, or T+2. [read post]
26 Sep 2016, 4:43 am by Edith Roberts
United States, in which “the justices have been asked to decide how tangible the tipster’s benefit must be” in an insider trading case, may affect the Securities and Exchange Commission’s case against hedge fund manager Leon Cooperman, arguing that if “the justices come up with a very restrictive definition of what constitutes a personal benefit for a tipster,” that could bolster Cooperman’s defense. [read post]
5 Sep 2016, 4:52 pm by INFORRM
The first case was heard by the High Court in Bangura v Loughborough University [2016] EWHC 1503 (QB). [read post]
25 Jul 2016, 7:13 am by Doug Cornelius
Other news is a personnel change at the Securities and Exchange Commission because of cycling. [read post]
16 Jun 2016, 2:48 pm by Kevin LaCroix
Securities and Exchange Commission’s (SEC’s) cybersecurity regulatory and enforcement onslaught continues . . . [read post]
10 Jun 2016, 6:15 am
Securities & Exchange Commission, on Friday, June 3, 2016 Tags: Audit trail, Capital formation, Capital markets, Disclosure, Dodd-Frank Act, Equity capital, Investor protection, JOBS Act, Regulation NMS, SEC, SEC rulemaking, Securities regulation, Small firms, Transparency Delaware Court of Chancery Appraises Fully-Shopped Company at Nearly 30% Over Merger Price Posted by Martin Lipton and Theodore N. [read post]
27 May 2016, 11:31 am by Dave Aitel
The loss of talent from our top intelligence agencies to the private sector is of grave strategic national security consequence. [read post]
26 Feb 2016, 11:24 am by Zack Bluestone
” This flurry of diplomatic exchanges set the stage for PRC Foreign Minister Wang Yi’s previously schedule visit to Washington. [read post]
22 Jan 2016, 6:19 am by Jim Sedor
The Securities and Exchange Commission (SEC) found former State Street Vice President Vincent DeBaggis entered into an agreement with Amer Ahmad, then Ohio deputy treasurer, to make illegal cash payments and political contributions. [read post]
14 Jan 2016, 5:10 pm by Trent Dykes
  In 2015, proxy access, shareholder activism and newly adopted or proposed rules from the Securities Exchange Commission were some of the big-ticket items. [read post]