Search for: "Securities & Exchange Commission v. Topping"
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11 Nov 2021, 2:07 pm
Claim handlers continue to wrestle with enduring long-tail Exchange Act claims, federal and state Securities Act claims, and shareholder derivative suits without respite. [read post]
15 May 2024, 9:01 pm
Following an investigation by the SEC’s Division of Enforcement, the Commission institutes an administrative proceeding and finds that because of the mutual conflict of interest created by the audit firm’s provision of non-audit services at reduced rates in exchange for being chosen as the company’s auditor, the audit firm and audit partner were not independent within the meaning of Rule 2-01(b) of Regulation S-X. [read post]
11 Sep 2012, 1:36 am
It is worth noting the DCF’s own observation in the guidance that it “is not a rule, regulation, or statement of the Securities and Exchange Commission”. [read post]
20 May 2011, 1:56 am
The securities were registered but not listed on any national exchange. [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]
19 Dec 2012, 12:38 pm
Golan v. [read post]
18 Aug 2024, 9:01 pm
Securities and Exchange Commission (SEC), and the UK Serious Fraud Office (SFO), and is “fully cooperating with the reviews by these agencies. [read post]
29 Jul 2007, 1:08 am
Gordon and Tracy V. [read post]
9 Jun 2023, 12:26 pm
Earlier this month on a Friday afternoon, the Securities and Exchange Commission quietly issued an extraordinary administrative order. [read post]
14 Feb 2018, 2:57 pm
Securities and Exchange Commission, 581 U.S. ___ (2017), that the SEC’s ability to recover funds through disgorgement is subject to a five-year statute of limitations. [read post]
18 Feb 2022, 1:25 pm
Elon Musk, with a net worth close to $240 billion, is not one to shy away from his dislike of the Securities and Exchange Commission (“SEC”). [read post]
23 Apr 2023, 9:01 pm
It also established this important agency I’m honored to chair, the Securities and Exchange Commission. [read post]
25 Apr 2018, 7:36 am
Returning to the point during an exchange with Wall, Justice Kagan said that having power over pay, removal, or employment can interfere with decisional independence. [read post]
29 Apr 2022, 3:00 am
Notably, Musk’s initial filing with the Securities and Exchange Commission categorized his purchase as a passive stake—which immediately raised questions given his public comments about how Twitter is run. [read post]
16 Jan 2024, 1:19 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
2 Aug 2015, 5:10 pm
The ADS investors asserted claims under both the Securities Exchange Act of 1934 and the Securities Act of 1933. [read post]
24 Mar 2024, 9:01 pm
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff. [read post]
24 Jan 2022, 6:30 am
Securities and Exchange Commission (“SEC”) and if the Biden Administration’s Build Back Better Act makes further headway. [read post]
24 Oct 2023, 9:01 pm
Through leadership, training, constant oversight and the right tone at the top, you need to ensure that the policies are actually implemented and followed. [read post]
18 Apr 2018, 1:33 pm
Securities and Exchange Commission, which will be argued next week. [read post]
