Search for: "Securities & Exchange Commission v. Topping" Results 61 - 80 of 274
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11 May 2019, 8:43 am by Arina Shulga
Every offer and sale of securities must be registered with the Securities and Exchange Commission (the “SEC”) pursuant to the registration requirements of Section 5 of the Securities Act of 1933 (the “Securities Act”) unless such offering qualifies for one of existing exemptions. [read post]
22 Apr 2019, 4:53 pm by CFM Admin
  The amendments also permit such reporting companies to meet their Regulation A ongoing reporting obligations through their Securities Exchange Act reports. [read post]
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]
24 Oct 2018, 4:33 pm by Kevin LaCroix
  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]
21 Oct 2018, 4:59 pm by INFORRM
The case examines a post made by Musk on social media stating he was considering privatising Tesla and the following investigation by the United States Securities and Exchange Commission. [read post]
10 Oct 2018, 12:40 pm by Kevin LaCroix
Securities and Exchange Commission (SEC), the federal regulator tasked with policing the disclosures to shareholders by public companies like Google. [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]
13 Sep 2018, 1:01 pm by Adam Feldman
The firms with multiple wins in this area track closely to the attorneys at the top. [read post]
7 Aug 2018, 9:07 am by John Jascob
Bats BZX Exchange, Inc., failed to convince three members of the Commission that its surveillance-sharing agreement with the Winklevoss twins’ Gemini Exchange was sufficient to prevent fraud and manipulation, as required by the Exchange Act. [read post]
3 Aug 2018, 4:24 am by Edith Roberts
Securities and Exchange Commission, in which the court held that SEC administrative law judges are “officers of the United States” who have to be appointed by the president, a court or a department head, which Williams calls “a step in the process of unraveling the administrative state. [read post]
26 Jul 2018, 4:00 am by Administrator
Periodically on Thursdays, we present a significant excerpt, usually from a recently published book or journal article. [read post]
5 Jul 2018, 4:15 am by Edith Roberts
Commentary on Masterpiece Cakeshop v. [read post]
29 Jun 2018, 4:17 am by Edith Roberts
Securities and Exchange Commission, in which the court invalidated the appointments of the SEC’s administrative law judges, concluding that“in the near term the SEC (and perhaps other agencies) will have to redo a series of (in some cases fairly old) administrative cases, potentially straining resources and possibly prompting the agency to tap other ALJs. [read post]