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6 Jun 2017, 8:06 am by Theresa Gabaldon
Securities and Exchange Commission, yesterday’s 9-0 opinion siding with appellant Charles Kokesh and determining that SEC disgorgement actions are subject to a statute of limitations hardly called for stopping the presses. [read post]
9 May 2017, 11:41 am by Justin Giovannettone
Last Thursday, Jay Clayton was officially sworn in as the new Chairman of the Securities and Exchange Commission. [read post]
3 Apr 2017, 3:14 pm by Jordan Brunner
Judge Pohl then clarifies that there is a one-month time lag between submission and completion of review, and that the records start out with TOP SECRET level clearance. [read post]
29 Mar 2017, 5:09 am by SHG
Under the 1975 Securities Acts Amendments, large money-management institutions were required to report their portfolio holdings on a quarterly basis to the Securities and Exchange Commission. [read post]
12 Mar 2017, 9:28 am
 With global yearly sales in 2014 for the top biologics ranging between $3-18 billion and IMS's estimation that by 2020 this figure will increase to $390 billion,  it is a no brainer that biosimilar companies are chomping at the bit to secure some of this market share. [read post]
3 Mar 2017, 9:43 am by Jason Kaufman
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]
3 Mar 2017, 9:43 am by Jason Kaufman
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]
3 Mar 2017, 9:43 am by Jason Kaufman
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]
3 Mar 2017, 9:43 am by Jason Kaufman
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]
3 Mar 2017, 9:43 am by Jason Kaufman
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]
19 Feb 2017, 4:02 pm by INFORRM
London Internet Exchange (LINX) faces a growing backlash over changes to its rules that would gag its directors applying secret government orders to monitor networks, under Britain’s Investigatory Powers Act. [read post]
3 Feb 2017, 6:04 am
Securities and Exchange Commission, on Monday, January 30, 2017 Tags: Broker-dealers, Capital formation, Disclosure, Dodd-Frank Act, Financial regulation, Financial technology, Investor protection, JOBS Act, SEC, SEC enforcement, Securities enforcement, Securities regulation The Common Law Corporation: The Power of the Trust in Anglo-American Business History Posted by John D. [read post]
Continuing our annual tradition, we present the top developments/headlines for 2016 in trade secret, computer fraud, and non-compete law. [read post]
Continuing our annual tradition, we present the top developments/headlines for 2016 in trade secret, computer fraud, and non-compete law. [read post]
6 Jan 2017, 5:50 am by Justin S. Daniel
Securities and Exchange Commission, a choice which Trump said will advance “the financial security of the American people,” but which was reportedly criticized by progressive groups because of Clayton’s ties to the financial industry. [read post]
4 Jan 2017, 3:55 pm by nedaj
Managers that participate in soft dollar programs should make sure that they have addressed any commission balances from the previous year. [read post]
29 Dec 2016, 3:42 am by Broc Romanek
Here’s this WSJ article by Dave Michaels: A federal appeals court dealt a strong blow to Wall Street’s top cop this week, deciding that the Securities and Exchange Commission’s in-house courts don’t meet constitutional requirements. [read post]
21 Dec 2016, 7:19 am by Paul Lyons
Securities and Exchange Commission’s whistleblower program hit several milestones over the course of 2016, including their first stand-alone action against a company for whistleblower retaliation. [read post]