Search for: "Securities & Exchange Commission v. Topping"
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9 Dec 2016, 1:00 am
Karp and Sabastian V. [read post]
12 Oct 2016, 12:12 pm
Examples of independent agencies include well-known bodies such as the Federal Communications Commission, the Securities and Exchange Commission, the Federal Trade Commission, the National Labor Relations Board, and the Federal Energy Regulatory Commission. [read post]
6 Oct 2016, 9:30 pm
The Securities and Exchange Commission (SEC) announced that Credit Suisse AG agreed to pay a $90 million fine to settle charges that it misrepresented the methodology it used to determine an important wealth management performance metric. [read post]
29 Sep 2016, 9:30 pm
” The Securities and Exchange Commission (SEC) unanimously voted to propose a rule that would shorten the settlement time for broker-dealer securities transactions from three days, referred to as T+3, to two days, or T+2. [read post]
26 Sep 2016, 4:43 am
United States, in which “the justices have been asked to decide how tangible the tipster’s benefit must be” in an insider trading case, may affect the Securities and Exchange Commission’s case against hedge fund manager Leon Cooperman, arguing that if “the justices come up with a very restrictive definition of what constitutes a personal benefit for a tipster,” that could bolster Cooperman’s defense. [read post]
5 Sep 2016, 4:52 pm
The first case was heard by the High Court in Bangura v Loughborough University [2016] EWHC 1503 (QB). [read post]
25 Jul 2016, 7:13 am
Other news is a personnel change at the Securities and Exchange Commission because of cycling. [read post]
16 Jun 2016, 2:48 pm
Securities and Exchange Commission’s (SEC’s) cybersecurity regulatory and enforcement onslaught continues . . . [read post]
10 Jun 2016, 6:15 am
Securities & Exchange Commission, on Friday, June 3, 2016 Tags: Audit trail, Capital formation, Capital markets, Disclosure, Dodd-Frank Act, Equity capital, Investor protection, JOBS Act, Regulation NMS, SEC, SEC rulemaking, Securities regulation, Small firms, Transparency Delaware Court of Chancery Appraises Fully-Shopped Company at Nearly 30% Over Merger Price Posted by Martin Lipton and Theodore N. [read post]
3 Jun 2016, 9:48 am
In Cross v. [read post]
27 May 2016, 11:31 am
The loss of talent from our top intelligence agencies to the private sector is of grave strategic national security consequence. [read post]
21 Apr 2016, 4:45 am
Securities and Exchange Commission’s Cybersecurity Examination Initiative directed broker-dealers to “further assess cybersecurity preparedness in the securities industry. [read post]
26 Feb 2016, 11:24 am
” This flurry of diplomatic exchanges set the stage for PRC Foreign Minister Wang Yi’s previously schedule visit to Washington. [read post]
22 Jan 2016, 6:19 am
The Securities and Exchange Commission (SEC) found former State Street Vice President Vincent DeBaggis entered into an agreement with Amer Ahmad, then Ohio deputy treasurer, to make illegal cash payments and political contributions. [read post]
14 Jan 2016, 5:10 pm
In 2015, proxy access, shareholder activism and newly adopted or proposed rules from the Securities Exchange Commission were some of the big-ticket items. [read post]
13 Jan 2016, 5:05 pm
The government response was the enactment of the Securities and Exchange Act of 1934, which created the Securities and Exchange Commission (SEC) and made financial reporting obligatory for public corporations. [read post]
4 Jan 2016, 4:08 pm
The list of the Top Ten D&O Stories of 2015 is set out below with an eye toward these future possibilities. [read post]
8 Dec 2015, 1:58 pm
The Security Council has not ta [read post]
24 Nov 2015, 1:21 pm
Dax White is the managing partner of the White Law Group, a national securities fraud, securities arbitration and investor protection law firm with at offices in Chicago, Illinois and Vero Beach, Florida. [read post]
6 Nov 2015, 6:14 am
He is charged with taking official actions on behalf of several companies in exchange for payments to his son. [read post]
