Search for: "Securities & Exchange Commission v. Topping"
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1 May 2020, 2:11 am
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
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]
2 Apr 2020, 4:14 pm
In Salzberg v. [read post]
5 Mar 2020, 3:51 am
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]
29 Jan 2020, 9:26 am
Securities and Exchange Commission and Commodities and Futures Trading Commission broadly defining a swap. [read post]
14 Jan 2020, 12:47 pm
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
Supreme Court’s March 2018 entry of its opinion in Cyan, Inc. v. [read post]
31 Dec 2019, 8:13 am
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
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
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]
11 Oct 2019, 3:00 am
The 2010 SpeechNow v. [read post]
24 Sep 2019, 6:11 am
And on Monday, Senator Chuck Grassley (R-IA), introduced a bill that advocates say will protect whistleblowers who report financial crimes internally before going to the Securities and Exchange Commission (SEC). [read post]
16 Sep 2019, 2:45 am
The Securities and Exchange Commission (SEC) brought an enforcement action against Malouf, and the Tenth Circuit affirmed an administrative law judge’s finding that Malouf had violated Exchange Act Rules 10b-5(a) and (c) and Sections 17(a)(1) and (a)(3) of the Securities Act. [read post]
2 Sep 2019, 6:05 am
As the protest in Hong Kong entered its 13th week, a public dialogue that runs parallel to the protest has been unfolding between and among state actors. [read post]
9 Aug 2019, 3:00 am
Joaquin Castro Tweeted the Names of Top Trump Donors. [read post]
16 Jul 2019, 10:18 am
Entering the third quarter, we would like to highlight some items we hope will help you stay on top of the business and regulatory landscape in the coming months. [read post]
24 Jun 2019, 11:59 am
” The definition of an investment contract is “an investment of money in a common enterprise, with an expectation of profits based solely on the efforts of the promoter” (Securities and Exchange Commission v. [read post]
12 Jun 2019, 6:38 am
Securities and Exchange Commission’s (the “SEC”) recently filed complaint against Kik Interactive Inc. [read post]
8 Jun 2019, 7:05 pm
(Pix © Larry Catá Backer 2019)This post is the third of a series of three posts in which the CPE WGE examine the question of paths to empire performed through the choices being made by the U.S. and Chinese leadership cores [领导核心] within the theater of the U.S. [read post]
4 Jun 2019, 3:00 am
Supreme Court denied the petition for a writ of certiorari in Hagan v. [read post]
