Search for: "Securities & Exchange Commission v. Topping"
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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]
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]
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]
6 Jan 2025, 9:07 am
Supreme Court’s June 2024 decision in the SEC v. [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]
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]
12 Sep 2013, 1:49 pm
Mann The Security and Exchange Commission’s recent enforcement action against Lawrence D. [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]
12 Nov 2012, 12:04 pm
Most recently, the EEOC secured approval of another settlement in EEOC v. [read post]
19 Jul 2023, 9:05 pm
The Securities and Exchange Commission regulations on climate disclosure, first proposed in March 2022 and likely to be issued in final form in October 2023,[1] have drawn considerable controversy and face an uncertain fate in the inevitable litigation.[2] Much less attention has gone to two bills that are moving toward adoption in California. [read post]
24 Feb 2008, 8:54 am
The Bush administration will tell you that it stems from the 9/11 Commission's suggestions, and [read post]
28 Mar 2012, 4:54 am
Turn Over: A federal judge has ordered Securities and Exchange Commission lawyers to turn over their notes to federal prosecutors handling the criminal case against Rajat K. [read post]
1 Dec 2022, 1:58 pm
********************** On November 16, 2022, Dell Technologies Inc. reached a $1 billion settlement with shareholders, according to a recently filed 8-K filed with the U.S Securities and Exchange Commission. [read post]
7 Dec 2010, 6:33 am
Securities and Exchange Commission (SEC) has only allowed the agency the reach to prosecute the most flagrant abuses of securities laws. [read post]
27 Jan 2017, 9:11 am
Continuing our annual tradition, we present the top developments/headlines for 2016 in trade secret, computer fraud, and non-compete law. [read post]
3 Apr 2024, 9:01 pm
As is customary, my remarks this morning are in my official capacity as Director of the Securities and Exchange Commission’s Division of Enforcement, and do not necessarily reflect the views of the Commission, the Commissioners, or other members of the staff. [read post]
