Search for: "Securities And Exchange Commission v. Davis"
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1 Feb 2008, 2:09 pm
Securities and Exchange Commission entered a Temporary Restraining Order against Capital because two of its brokers were engaged in fraudulent activities. [read post]
6 Mar 2022, 11:36 am
Kurup posted the unanimous court decision in FBI v. [read post]
26 Jan 2024, 6:30 am
Securities and Exchange Commission, on Thursday, January 25, 2024 Tags: IPOs, SEC, Shell Companies, SPACs, Special purpose acquisition companies [read post]
26 Jan 2024, 6:30 am
Securities and Exchange Commission, on Thursday, January 25, 2024 Tags: IPOs, SEC, Shell Companies, SPACs, Special purpose acquisition companies [read post]
19 Mar 2015, 8:05 am
Washington and Davis v. [read post]
15 Jul 2018, 4:05 pm
On 11 July 2018 Nicola Davies J heard an application in the case of Piepenbrock v London School of Economics. [read post]
20 Apr 2017, 4:18 am
Securities and Exchange Commission, which asks whether a federal statute of limitations on civil penalties and forfeitures applies to disgorgements. [read post]
6 Mar 2024, 9:03 pm
[5] Commission Guidance Regarding Disclosure Related to Climate Change, Release No. 33-9106 (Feb. 2, 2010) [75 FR 6290 (Feb. 8, 2010)] [6] See Basic Inc. v. [read post]
4 Feb 2008, 9:02 am
Securities and Exchange Commission entered a Temporary Restraining Order against Capital because two of its brokers were engaged in fraudulent activities. [read post]
4 Feb 2008, 9:02 am
Securities and Exchange Commission entered a Temporary Restraining Order against Capital because two of its brokers were engaged in fraudulent activities. [read post]
5 Oct 2018, 5:52 am
Securities and Exchange Commission, on Monday, October 1, 2018 Tags: Elon Musk, Misconduct, Rule 10b-5, SEC enforcement, Securities enforcement, Securities fraud, Settlements, Tesla A Tale of Two Earnouts Posted by Gail Weinstein, Brian T. [read post]
27 May 2016, 6:12 am
V. [read post]
2 Jul 2018, 11:38 am
Bennett (2011); and Davis v. [read post]
4 Jan 2018, 3:00 am
Herrera that the “oral download” of external counsel’s interview notes to the Securities and Exchange Commission (“SEC”) waived protection from disclosure under the attorney work product doctrine. [read post]
27 Dec 2023, 6:09 pm
FINRA, the regulator that oversees brokers and brokerage firms, and the Securities and Exchange Commission may impose regulatory actions against a broker-dealer such as censures, fines, suspensions and restitution, among others. [read post]
26 Feb 2018, 4:32 am
Somers, in which the court ruled that the anti-retaliation provision of the Dodd-Frank Act does not apply to a whistleblower who has not first reported a violation to the Securities and Exchange Commission, calling the outcome “a double-edged sword for employers. [read post]
1 Sep 2015, 6:07 am
Davis has again refused to issues marriage licenses to same-sex couples. [read post]
24 Mar 2017, 7:24 am
Courts of Appeals for the 3rd and 9th Circuits – that Item 303 of Securities and Exchange Commission Regulation S-K creates a duty to disclose that is actionable under Section 10(b) of the Securities Exchange Act of 1934 and SEC Rule 10b-5. [read post]
1 Feb 2019, 10:51 am
The deterrent effect of the Securities and Exchange Commission’s enforcement intensity on illegal insider trading: evidence from run-up before news events. [read post]
11 Nov 2021, 9:03 pm
Securities and Exchange Commission approved the Public Company Accounting Oversight Board’s Rule 6100. [read post]
