Search for: "Securities & Exchange Commission v. Topping"
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5 Jan 2015, 3:31 pm
Managers that participate in soft dollar programs should make sure that they have addressed any commission balances from the previous year. [read post]
28 Dec 2014, 9:30 pm
Securities and Exchange Commission recently adopted a final rule designed to reduce the risk of a run on money market funds and to limit potential contagion if a run does occur. [read post]
9 Dec 2014, 10:38 am
With all of the high profile data breaches that have taken place in recent months, cyber security is a critical topic at the top of just about everyone’s agenda. [read post]
14 Nov 2014, 5:42 am
Kalamazoo County Road Commission v. [read post]
16 Oct 2014, 7:57 am
Kalamazoo County Road Commission v. [read post]
23 Sep 2014, 1:10 pm
The Dodd-Frank Act prohibits employers from retaliating against employees who act as whistleblowers by providing information related to a violation of the securities laws to the Securities and Exchange Commission (SEC) in a manner established by the SEC. [read post]
21 Sep 2014, 5:30 am
http://t.co/DkoMfatq0T -> Cultural innovation tops agenda at int'l copyright forum in Chengdu. http://t.co/VnlGskHAmD -> Newfoundland health authority employee fined for rummaging through records http://t.co/FnlXKYa4fL -> 9 Common Reasons Cloud Systems Crash to Remember When Negotiating Cloud Contracts http://t.co/3rMqBvxR5K -> Justice Sotomayor says technology could lead to “Orwellian world” http://t.co/gpIVKez98j -> Copyhype Friday’s Endnotes –… [read post]
1 Sep 2014, 9:23 pm
Esther Salas, in The Federal Trade Commission, Plaintiff, v. [read post]
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]
23 May 2014, 5:00 am
Lynch At separate conferences, Securities and Exchange Commission members Kara Stein and Daniel Gallagher called for the agency to provide more clarity, noting many officers fear they will become the subject of an enforcement action. [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, 12:28 pm
Davis et al, New York State Supreme Court, New York County, and SEC v. [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]
15 Feb 2014, 8:28 am
But it’s not just diplomatic exchanges that are being monitored by the Russians. [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]
