Search for: "Securities And Exchange Commission v. Davis"
Results 21 - 40
of 155
Sort by Relevance
|
Sort by Date
28 Mar 2023, 9:01 pm
” That group includes many types of broker-dealers, clearing agencies, major security-based swap participants, the Municipal Securities Rulemaking Board, national securities associations, national securities exchanges, security-based swap data repositories, security-based swap dealers, and transfer agents. [read post]
22 Feb 2023, 1:07 pm
And it may help judges prevent (or call into question) misrepresentations about David v. [read post]
13 Feb 2023, 9:11 am
Contracts were exchanged in September 2013 and the sale completed at that lower price. [read post]
26 Jan 2023, 7:45 pm
Nickie Mali Lum Davis pleaded guilty in 2020 to one count of aiding and abetting in violation of the Foreign Agents Registration Act. [read post]
23 Jan 2023, 9:01 pm
Restricted competition trading center: Any trading center that is not an open competition trading center and is not a national securities exchange. [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]
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]
18 Nov 2022, 6:30 am
Lu, Sabastian V. [read post]
18 Nov 2022, 6:30 am
Lu, Sabastian V. [read post]
26 Aug 2022, 4:00 am
White Coats in the State Capital: OB-GYNs become political force in abortion wars Yahoo News – Alice Miranda Ollstein and Megan Messerly (Politico) | Published: 8/22/2022 Physicians, many of whom have never mobilized politically, are banding together in the wake of the Supreme Court overturning Roe v. [read post]
17 Aug 2022, 3:10 pm
[Assessing an aggressive Fifth Circuit opinion declaring Securities & Exchange Commission proceedings unconstituional.] [read post]
14 Aug 2022, 9:01 pm
Each bill would bring much needed clarity to the regulatory landscape in part by strengthening the role of the Commodity Futures Trading Commission instead of fully empowering the Securities and Exchange Commission to regulate the digital asset industry. [read post]
15 Jul 2022, 4:00 am
Supreme Court’s reversal of Roe v. [read post]
16 Jun 2022, 9:05 pm
Securities and Exchange Commission on June 16, 2022. [read post]
7 Jun 2022, 10:32 am
The Indiana Election Commission denied the petition orally about a week later and the challenger did not appeal. [read post]
31 May 2022, 5:57 am
Background on SEC Administrative Proceedings One of the SEC’s functions is to bring enforcement proceedings against those alleged to have violated securities laws, such as the Securities Act of 1933, Securities Exchange Act of 1934, or Investment Advisor Act of 1940. [read post]
18 May 2022, 2:47 pm
[Fifth Circuit panel finds several constitutional problems with the Securities and Exchange Commission] In Jarkesy v. [read post]
19 Apr 2022, 5:05 am
Davis, 132 F.3d 1092 (5th Cir. 1998); United States v. [read post]
