Search for: "Securities & Exchange Commission v. Topping"
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17 Dec 2018, 8:18 am
The Securities and Exchange Commission (SEC) is concerned that the offering and sale of virtual currency (or “tokens”) is a sale of a security under the Securities Act of 1933, and that such offerings should comply with offering regulations, including providing appropriate disclosure to investors in order to prevent fraud. [read post]
3 Mar 2017, 9:43 am
Only two weeks after his inauguration, he issued an EO titled “Core Principles for Regulating the United States Financial System,” which directs the Treasury Secretary to consult with the heads of financial agencies, including the Commodity Futures Trading Commission and the Securities and Exchange Commission (“SEC”), to find ways to conform U.S. financial regulations, including Dodd-Frank, to the Trump administration’s “Core… [read post]
9 Oct 2007, 9:07 am
The Bush administration disregarded the recommendation of the Securities and Exchange Commission and filed a brief in support of the Charter vendors. [read post]
28 May 2008, 2:02 am
These exchanges are greatly appreciated by the Court.Thirty-three judges of the Court have previously served as members of the Commission. [read post]
13 Apr 2020, 4:19 pm
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]
6 Jan 2011, 5:00 am
The case, however, has far greater practical significance and amounts to an important salvo in the relationship between the Delaware courts and the Securities and Exchange Commission. [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]
10 Jul 2024, 9:01 pm
Securities and Exchange Commission (“SEC”). [read post]
3 Apr 2017, 3:14 pm
Judge Pohl then clarifies that there is a one-month time lag between submission and completion of review, and that the records start out with TOP SECRET level clearance. [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]
6 Feb 2018, 7:24 am
China Economic and Security Review Commission was created on October 30, 2000 by the Floyd D. [read post]
23 Oct 2019, 8:36 am
Last month, the military commission for the matter of United States v. [read post]
9 Mar 2007, 12:55 pm
It’s front page news on today’s Financial Times (top left, no less, and see Lombard, page 18; subscription required for both), on page 18 in the Wall Street Journal and in a whole host of UK newspapers: US Securities and Exchange Commission official Roel C. [read post]
26 Apr 2018, 9:04 am
“Gibbons v. [read post]
4 Jun 2015, 5:00 am
With two recent fraud cases, the Securities and Exchange Commission issued a new Investor Alert: Beware of False or Exaggerated Credentials. [read post]
12 Sep 2013, 1:49 pm
Mann The Security and Exchange Commission’s recent enforcement action against Lawrence D. [read post]
27 May 2016, 11:31 am
The loss of talent from our top intelligence agencies to the private sector is of grave strategic national security consequence. [read post]
18 Apr 2012, 1:55 pm
Securities and Exchange Commission who spearheaded a 2004 Hollinger committee report on Black’s practices, along with three committee members, and other former Hollinger directors.The report said Black, a former Canadian citizen who is now a member of the British House of Lords, looted publisher Hollinger International of hundreds of millions of dollars. [read post]
3 Jan 2022, 12:39 pm
I have set out below the Top Ten D&O Stories of 2021, with a focus on the future implications. [read post]
