Search for: "Securities And Exchange Commission v. Davis"
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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]
29 Dec 2017, 7:34 am
It no doubt explains why Spotify and China's internet giant Tencent exchanged equity stakes of just under 10 per cent of each other, and why Tencent now has a $2 billion stake in Snapchat. [read post]
26 Dec 2017, 9:30 pm
Supreme Court in Kokesh v. [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 Nov 2017, 7:40 am
Co. v. [read post]
8 Nov 2017, 7:40 am
Co. v. [read post]
23 Oct 2017, 4:22 pm
For example, the Securities and Exchange Commission and the New York Department of Financial Services have both announced their intentions to hold directors and officers to a responsible standard when it comes to preventing and responding to cybersecurity incidents. [read post]
23 Oct 2017, 4:22 pm
For example, the Securities and Exchange Commission and the New York Department of Financial Services have both announced their intentions to hold directors and officers to a responsible standard when it comes to preventing and responding to cybersecurity incidents. [read post]
31 Aug 2017, 7:28 pm
Indiana Public Retirement System – Monday, November 6: Whether a Securities and Exchange Commission regulation that requires companies to disclose (among other things) “any known trends or any known demands, commitments, events or uncertainties that will result in or that are reasonably likely to result in the registrant’s liquidity increasing or decreasing in any material way” creates a duty to disclose that would allow shareholders to file a… [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]
18 Aug 2017, 6:00 am
Qualified Purchasers: Understanding Investor Qualifications by Alexander Davie in Strictly Business The three most common types of investors referenced in these laws and the regulations adopted by the Securities and Exchange Commission (SEC) are 1) accredited investors, 2) qualified clients, and 3) qualified purchasers. [read post]
18 Aug 2017, 6:00 am
Qualified Purchasers: Understanding Investor Qualifications by Alexander Davie in Strictly Business The three most common types of investors referenced in these laws and the regulations adopted by the Securities and Exchange Commission (SEC) are 1) accredited investors, 2) qualified clients, and 3) qualified purchasers. [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]
6 Jun 2017, 3:57 am
Securities and Exchange Commission, the court held that because SEC disgorgement operates as a penalty, the five-year statute of limitations applies to a claim for disgorgement in an SEC enforcement action. [read post]
21 Apr 2017, 6:25 am
Brinckerhoff v. [read post]
21 Apr 2017, 6:25 am
Brinckerhoff v. [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]
19 Apr 2017, 4:38 am
Securities and Exchange Commission enforcement tool may soon be reined in by the U.S. [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]
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]
