Search for: "Securities & Exchange Commission v. Topping"
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23 Sep 2010, 9:58 am
" for withdrawing Public Company Accounting Oversight Board members and instead vests that authority with Commissioners of the Securities and Exchange Commission. [read post]
16 Jan 2008, 3:21 pm
Wall Street has successfully argued that Congress intended only the Securities and Exchange Commission to police fraud, not to open the door to lawsuits by private shareholders. [read post]
26 Sep 2016, 4:43 am
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]
22 Aug 2012, 8:01 am
California Coastal Commission (1987) and Dolan v. [read post]
24 Oct 2018, 4:33 pm
By way of background, on September 20th, 2017, Securities and Exchange Commission (SEC) Chairman Jay Clayton announced a data breach into the SEC’s Electronic Data Gathering and Retrieval (EDGAR) system, a vast database that contains information about company earnings, share dealings by top executives and corporate activity such as mergers and acquisitions. [read post]
10 May 2013, 5:06 am
This session will address any lingering questions you may have about the FCPA guidance published last fall by the Department of Justice (DOJ) and Securities and Exchange Commission (SEC). [read post]
17 Apr 2022, 5:58 am
(The executive reportedly later claimed that he was promised a top cyber security job in the Clinton administration). [read post]
2 May 2012, 8:19 am
Carlo V. di Florio, Director, United States Securities and Exchange Commission, Office of Compliance Inspections and Examinations interviewed by Nicholas Donato, Editor, Private Equity Manager Mr. di Florio started off with some post-registration statistics: 3100 private funds with 8 trillion dollars in the funds. 4000 registered private fund advisers 37 of the 50 world’s biggest private equity fund managers are now registered. 48 of 50 world’s… [read post]
4 Feb 2011, 9:00 am
10:00 – 10:30 Keynote Speaker Carlo V. di Florio, Director, United States Securities and Exchange Commission, Office of Compliance Inspections and Examinations 10:30 – 10:50 Networking break 10:50 – 12:00 Panel: The new form ADV 2 part 2 - Most important required elements for the brochure - Addressing the most challenges aspects i.e. confidential information and fees - Handling updates and brochure supplements - Effective delivery 12:00… [read post]
10 May 2013, 5:06 am
This session will address any lingering questions you may have about the FCPA guidance published last fall by the Department of Justice (DOJ) and Securities and Exchange Commission (SEC). [read post]
24 Nov 2015, 1:21 pm
Dax White is the managing partner of the White Law Group, a national securities fraud, securities arbitration and investor protection law firm with at offices in Chicago, Illinois and Vero Beach, Florida. [read post]
6 Jan 2017, 5:50 am
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]
16 May 2012, 2:32 pm
Gabby's depicted at foreground in the top photo; behind her is Sasha E. [read post]
9 Jun 2021, 8:28 am
It ought not to escape attention that the Senate passage of the bull tool place the day after the CECC issued a public statement condemning Apple's operations in China as in contravention of the moral position and the political principles of the United States (Public Pressure on Private Conduct in Defense of Liberal Democratic Values: Congressional-Executive Commission on China Chairs Issue Statement about Forced Labor in Apple’s Supply Chain in Xinjiang). [read post]
5 Jul 2018, 4:15 am
Commentary on Masterpiece Cakeshop v. [read post]
20 Mar 2014, 9:01 pm
The concept began growing when the Securities and Exchange Commission authorized such investigations as a part of an effort to reduce the costs of government supervision of publicly-traded companies. [read post]
22 Apr 2019, 4:53 pm
The amendments also permit such reporting companies to meet their Regulation A ongoing reporting obligations through their Securities Exchange Act reports. [read post]
4 Jan 2018, 10:59 am
v. [read post]
16 Sep 2018, 8:06 am
(Pix credit here: With eye on China, EU parliament pushes tougher line on investments)Europe appears to be faced, again, with the hard task of balancing its relations among frenemies while retaining its wealth. [read post]
15 Dec 2022, 8:00 am
Although the project is being conducted in a purely experimental fashion using simulated data, the pilot can be seen as one of the first steps taken by a governmental agency towards creating a central bank digital currency.SEC v. [read post]
