Search for: "Securities & Exchange Commission v. Topping" Results 101 - 120 of 383
Sort by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
2 Sep 2020, 3:51 am by Matthias Weller
The CJEU declared it to infringe Article 19 (1) TEU in its judgment of 24 June 2019, C- 619/18 – Commission v. [read post]
6 Jul 2020, 4:00 am by Administrator
Excess Copyright Canadian Securities LawNew Brunswick Joins Canadian MoU Respecting Oversight of Exchanges The Ontario Securities Commission recently announced that the MoU between various Canadian securities regulators respecting the oversight of exchanges and quotation and trade reporting systems is being amended to add the Financial and Consumer Services Commission of New Brunswick as a party. [read post]
1 May 2020, 2:11 am by Shannon O'Hare
SECURITY AND TRUSTS / AGENCY / PARALLEL DEBT Since the introduction of a legal regime creating a security agent in 2017, a security agent can be appointed for the purpose of taking, registering, managing and enforcing security it holds in its name for the benefit of the creditors. [read post]
16 Apr 2020, 4:55 am by Hedge Fund Lawyer
As we continue through 2020, we have put together this update and checklist to help managers stay on top of the business and regulatory landscape in consideration of the global pandemic affecting nearly every aspect of the industry and our lives. [read post]
15 Apr 2020, 6:50 am by Laura Peterson
” The advisory said the CFTC would work with the Securities and Exchange Commission (SEC) and Department of Justice (DOJ), both of which can enforce the Foreign Corrupt Practices Act. [read post]
5 Mar 2020, 3:51 am by Edith Roberts
Securities and Exchange Commission, which asks whether the SEC can seek disgorgement of profits as a remedy in court for violating the securities-fraud laws, for this blog. [read post]
3 Feb 2020, 12:42 pm by Elliot Setzer, William Ford
Devoted to “Hard National Security Choices,” the site features top-quality writing and analysis from experts on developing stories in the national security arena, relevant legislation, and judicial opinions. [read post]
29 Jan 2020, 9:26 am by skelly
Securities and Exchange Commission and Commodities and Futures Trading Commission broadly defining a swap. [read post]
14 Jan 2020, 12:47 pm by Ronald Mann
Laid on top of those considerations is the obligation eventually to disclose that information to the public markets under the securities laws. [read post]
5 Jan 2020, 2:52 pm by Kevin LaCroix
Supreme Court’s March 2018 entry of its opinion in Cyan, Inc. v. [read post]
5 Jan 2020, 2:52 pm by Kevin LaCroix
Supreme Court’s March 2018 entry of its opinion in Cyan, Inc. v. [read post]
31 Dec 2019, 8:13 am by CFM Admin
The Securities and Exchange Commission (the “SEC”) has provided a model form and accompanying instructions for firm privacy policies. [read post]
23 Dec 2019, 11:29 am by Allan Blutstein
Circuit would have tremendous consequences not just for “consultants,” but also for records exchanged with Congress, the President, and non-FOIA-subject agencies. [read post]
10 Dec 2019, 9:01 pm by Michael C. Dorf
A similar rationale might be offered for partisan-balance rules applicable to various federal agencies, including the Federal Deposit Insurance Corporation, the Federal Trade Commission, the Securities and Exchange Commission, the Federal Communications Commission, the Commission on Civil Rights, the Federal Energy Regulatory Commission, and the Federal Election Commission.The Third Circuit opinion expressed skepticism about whether… [read post]