Search for: "Securities & Exchange Commission v. Topping"
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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]
11 May 2019, 8:43 am
Every offer and sale of securities must be registered with the Securities and Exchange Commission (the “SEC”) pursuant to the registration requirements of Section 5 of the Securities Act of 1933 (the “Securities Act”) unless such offering qualifies for one of existing exemptions. [read post]
22 Apr 2019, 4:53 pm
The amendments also permit such reporting companies to meet their Regulation A ongoing reporting obligations through their Securities Exchange Act reports. [read post]
12 Feb 2019, 11:30 am
Securities and Exchange Commission. [read post]
17 Dec 2018, 8:18 am
The Securities and Exchange Commission (SEC) is concerned that the offering and sale of virtual currency (or “tokens”) is a sale of a security under the Securities Act of 1933, and that such offerings should comply with offering regulations, including providing appropriate disclosure to investors in order to prevent fraud. [read post]
14 Dec 2018, 7:16 pm
Perhaps one way is to treat internet platform companies the way one treats the business of stock exchanges. [read post]
24 Oct 2018, 4:33 pm
By way of background, on September 20th, 2017, Securities and Exchange Commission (SEC) Chairman Jay Clayton announced a data breach into the SEC’s Electronic Data Gathering and Retrieval (EDGAR) system, a vast database that contains information about company earnings, share dealings by top executives and corporate activity such as mergers and acquisitions. [read post]
21 Oct 2018, 4:59 pm
The case examines a post made by Musk on social media stating he was considering privatising Tesla and the following investigation by the United States Securities and Exchange Commission. [read post]
10 Oct 2018, 12:40 pm
Securities and Exchange Commission (SEC), the federal regulator tasked with policing the disclosures to shareholders by public companies like Google. [read post]
16 Sep 2018, 8:06 am
(Pix credit here: With eye on China, EU parliament pushes tougher line on investments)Europe appears to be faced, again, with the hard task of balancing its relations among frenemies while retaining its wealth. [read post]
13 Sep 2018, 1:01 pm
The firms with multiple wins in this area track closely to the attorneys at the top. [read post]
31 Aug 2018, 9:14 am
, United States v. [read post]
8 Aug 2018, 1:51 pm
Federal Election Commission. [read post]
7 Aug 2018, 9:07 am
Bats BZX Exchange, Inc., failed to convince three members of the Commission that its surveillance-sharing agreement with the Winklevoss twins’ Gemini Exchange was sufficient to prevent fraud and manipulation, as required by the Exchange Act. [read post]
3 Aug 2018, 4:24 am
Securities and Exchange Commission, in which the court held that SEC administrative law judges are “officers of the United States” who have to be appointed by the president, a court or a department head, which Williams calls “a step in the process of unraveling the administrative state. [read post]
26 Jul 2018, 4:00 am
Periodically on Thursdays, we present a significant excerpt, usually from a recently published book or journal article. [read post]
