Search for: "Securities And Exchange Commission v. Davis"
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16 Dec 2022, 6:30 am
Securities and Exchange Commission, on Thursday, December 15, 2022 Tags: corporate disclosure, Insider trading, Institutional Investors, Rule 10b-5-1, SEC, SEC enforcement [read post]
16 Dec 2022, 6:30 am
Securities and Exchange Commission, on Thursday, December 15, 2022 Tags: corporate disclosure, Insider trading, Institutional Investors, Rule 10b-5-1, SEC, SEC enforcement [read post]
13 Dec 2009, 6:26 am
In October 2008, the United States Court of Appeals for the Second Circuit issued an important decision concerning the extraterritorial application of the U.S. securities laws, Morrison v. [read post]
29 Aug 2017, 6:00 am
Although the ICO concept has gained traction very quickly and allowed various companies to raise over a billion dollars’ worth of digital currency directly from investors, many have suspected that ICOs, like their IPO counterparts, involve the issuance of securities; however, until recently, the Securities and Exchange Commission (SEC) had not yet weighed in. [read post]
11 Apr 2017, 5:59 am
Martin Shkreli's former lawyer, Evan Greebel -- who also happens to be his co-defendant -- has turned on him, accusing the pharma bro of submitting false documents to the Securities and Exchange Commission and engaging in illegal stock trading. [read post]
6 Jun 2014, 6:23 am
Rakoff’s rejection in 2011 of the consent settlement in United States Securities and Exchange Commission v. [read post]
6 Jun 2007, 9:55 am
Securities and Exchange Commission says it plans to propose changes to the proxy rules this summer, and three panel discussions this month suggest a wide range of options are on the table. [read post]
21 Jul 2017, 6:04 am
Securities and Exchange Commission, on Friday, July 14, 2017 Tags: Algorithmic trading, Capital formation, Capital markets, Dark pools, High-frequency trading, Information environment, Market efficiency, Private firms, SEC, SEC enforcement, Securities Act, Securities regulation, Transparency SEC Chairman Clayton on His Agenda Posted by Ning Chiu, Davis Polk & Wardwell… [read post]
11 Apr 2017, 10:24 am
Since 1970, the Securities and Exchange Commission has claimed, and courts have readily conceded, that the commission may sue violators of the federal securities laws for disgorgement of their ill-gotten gains. [read post]
24 Nov 2023, 6:08 pm
From Matthew Wiener: On November 29, 2023, the Supreme Court will hear argument in Securities and Exchange Commission v. [read post]
23 Feb 2009, 12:02 pm
In its civil complaint in Securities and Exchange Commission v. [read post]
21 Jun 2019, 6:42 am
Securities and Exchange Commission, on Friday, June 14, 2019 Tags: Capital markets, Exchange-traded funds, Index funds, Investment Company Act, Investor protection, Liquidity, Market conditions, SEC, Transparency Investors Bancorp‘s Impact on Long-Term Incentive Plans Posted by Matthew B. [read post]
6 Mar 2014, 12:28 pm
Davis et al, New York State Supreme Court, New York County, and SEC v. [read post]
3 Apr 2013, 12:47 pm
Barbato, Securities Exchange Act Release No. 41034), Craighead v. [read post]
10 Dec 2021, 4:59 am
Securities and Exchange Commission, on Friday, December 3, 2021 Tags: Accounting standards, Foreign issuers, Holding Foreign Companies Accountable Act, International governance, PCAOB, Sarbanes–Oxley Act, SEC, SEC rulemaking, Securities regulation SEC’s New Approach to No-Action Requests for Shareholder ESG Proposals Posted by Era Anagnosti, Maia Gez, and Scott Levi, White & Case LLP,… [read post]
23 Dec 2022, 6:30 am
Securities and Exchange Commission, on Friday, December 16, 2022 Tags: China, CSRC, HFCAA, PCAOB, Sarbanes–Oxley Act, SEC enforcement The Coming Wave of “Natural Capital” and Biodiversity Shareholder Activism and Stewardship Pressure on Boards Posted by Sabastian V. [read post]
23 Dec 2022, 6:30 am
Securities and Exchange Commission, on Friday, December 16, 2022 Tags: China, CSRC, HFCAA, PCAOB, Sarbanes–Oxley Act, SEC enforcement The Coming Wave of “Natural Capital” and Biodiversity Shareholder Activism and Stewardship Pressure on Boards Posted by Sabastian V. [read post]
4 May 2018, 6:01 am
Securities and Exchange Commission, on Friday, April 27, 2018 Tags: Capital formation, Capital markets, Disclosure, Equity offerings, IPOs, Private firms, SEC, Securities regulation, Small firms, Underpricing, Underwriting Which Antitakover Provisions Matter? [read post]
15 Dec 2017, 6:13 am
Securities and Exchange Commission, on Saturday, December 9, 2017 Tags: Capital formation, Conflicts of interest, Disclosure, EDGAR, Exchange-traded funds, Financial reporting, Investment advisers, Investment Company Act, Investor protection, SEC, Securities regulation, Transparency Do Professional Norms in the Banking Industry Favor Risk-taking? [read post]
8 Jan 2021, 5:52 am
Securities and Exchange Commission, on Tuesday, January 5, 2021 Tags: Capital formation, Direct listings, Due diligence, Institutional Investors, Investor protection, IPOs, Listing standards, NYSE, Retail investors, SEC, SEC rulemaking, Securities regulation, Underwriting Say-on-Pay Votes and Compensation Disclosures Posted by Brian V. [read post]
