Search for: "Securities & Exchange Commission v. Topping"
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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]
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]
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]
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]
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 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]
6 Mar 2014, 12:28 pm
Davis et al, New York State Supreme Court, New York County, and SEC v. [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]
20 May 2011, 1:56 am
The securities were registered but not listed on any national exchange. [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]
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]
