Search for: "Securities & Exchange Commission v. Topping"
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1 Sep 2014, 9:23 pm
Esther Salas, in The Federal Trade Commission, Plaintiff, v. [read post]
24 Jul 2014, 4:34 am
Last year, we discussed how Judge Leon’s questioning of a proposed settlement between IBM and the Securities and Exchange Commission for alleged books and records violations possibly contributed to an expanded investigation of the Company, and may have complicated the enforcement picture. [read post]
14 Jul 2014, 7:31 pm
“Chinese President Hu Jintao has instructed the country's leading officials and Party cadres to place "building a harmonious society" at the top of their agenda. . . . [read post]
2 Jun 2014, 3:48 am
The original decision found that one piece of the disclosure required by the rule—the requirement that issuers report to the Securities and Exchange Commission and state on their website “that any of their products have not been found to be ‘DRC conflict free’”—compelled speech in violation of the First Amendment. [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]
6 Mar 2014, 10:54 am
As noted in Staff Advisory 14-21, its provisions reflect similar guidance from the Federal Financial Institutions Examination Council and the Federal Trade Commission and draft guidance from the Securities and Exchange Commission. [read post]
10 Feb 2014, 4:16 pm
District Court for the Northern District of Ohio, Eastern Division, the In the Matter of: Perez v. [read post]
15 Jan 2014, 8:22 am
Co. v. [read post]
14 Jan 2014, 9:48 am
It also was announced that the Securities and Exchange Commission was deploying predictive coding to its Division of Enforcement staff to search and analyze hundreds of terabytes of ESI. [read post]
4 Dec 2013, 9:07 am
As we head into 2014, we have put together this checklist to help managers stay on top of the business and regulatory landscape for the coming year. [read post]
28 Oct 2013, 9:16 am
v=cyJ_OcyYqZY, last accessed on October 14, 2013). [read post]
12 Sep 2013, 1:49 pm
Mann The Security and Exchange Commission’s recent enforcement action against Lawrence D. [read post]
29 Jul 2013, 7:45 am
Securities laws require accurate disclosure of all material information.[3] Rule 10b-5 of the Securities Exchange Commission (SEC) prohibits any person from making “any untrue statement of material fact” or from omitting “a material fact necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading. [read post]
3 Jul 2013, 2:55 pm
A recent case from the California Court of Appeals, Lloyd v. [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]
6 Mar 2013, 11:00 am
Securities & Exchange Commission, No. 11-1274, 2013 WL 691002 (U.S. [read post]
14 Feb 2013, 10:00 am
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
19 Dec 2012, 12:38 pm
Golan v. [read post]
2 Dec 2012, 7:52 pm
Such an exchange of views should be useful not only for scholars and policy makers in China and India, but also for anyone interested in other BRICS countries as well: Brazil, Russia and South Africa. [read post]
1 Dec 2012, 5:19 pm
One case that addresses the definition is Lopez v. [read post]
