Search for: "Securities Investor Protection Corp. v. Executive SEC. Corp."
Results 1 - 20
of 76
Sorted by Relevance
|
Sort by Date
20 Dec 2019, 3:02 am
Explain, in detail, why, based on the applicant’s specific facts and circumstances, disclosure of the information is unnecessary for the protection of investors. [read post]
16 Jun 2022, 9:05 pm
”[4] Thus, nearly fifty years ago, the SEC concluded that environmental disclosure would “promote investor protection. [read post]
6 Aug 2009, 6:51 am
SEC Plans The Securities and Exchange Commission plans to weigh in this week on an investor lawsuit against Joseph Collins, Refco Inc.'s former outside lawyer, and his law firm, Mayer Brown LLP, said Salvatore Graziano, a lawyer at Bernstein Litowitz Berger & Grossmann LLP in New York representing the plaintiffs. [read post]
21 Feb 2012, 2:00 am
In Wood v. [read post]
1 Feb 2023, 9:01 pm
Investor Protection. [read post]
17 Dec 2023, 9:03 pm
There is nothing about the crypto securities markets that suggests that investors and issuers are less deserving of the protections of our securities laws. [read post]
31 Aug 2012, 3:47 pm
Royal Bank of Scotland (PDF) SEC v. [read post]
24 Sep 2010, 7:00 am
Cal.): In this case, the SEC charged Brookstreet Securities Corp. and its President and CEO Stanley C. [read post]
21 May 2014, 9:19 am
SEC v. [read post]
17 Jul 2023, 9:05 pm
The presence of a security in the form of an investment contract or otherwise invokes the jurisdiction of the SEC and its protective regimes, which include anti-fraud authorities and requirements that public offerings of securities be registered. [read post]
16 Mar 2020, 1:54 pm
E.g., SEC v. [read post]
19 Feb 2011, 3:56 pm
” The classic case is Lovenheim v. [read post]
19 Nov 2010, 1:13 pm
- TITLE IX--INVESTOR PROTECTIONS AND IMPROVEMENTS TO THE REGULATION OF SECURITIES, Subtitle G--Strengthening Corporate Search Term Begin Governance. [read post]
17 Jun 2019, 5:00 am
Among other concerns, she said that she had been exempted from the policy by senior Northrop executives and that this exemption rendered the company's SEC filings inaccurate. [read post]
18 Jul 2009, 7:31 am
The collapse of the subprime mortgage market, the ensuing credit crisis, the demise of several major investment banks and, perhaps most of all, the Madoff case led to a loss of confidence in the agency’s ability to protect investors. [read post]
15 Feb 2022, 2:05 pm
For example, in Sustainable Opportunities Acquisition Corp. v. [read post]
19 May 2016, 2:33 pm
More recently, on March 31, 2016, the SEC charged Navistar International Corp. with misleading investors about its development of an advanced technology truck engine and its potential certification by the Environmental Protection Agency (“EPA”). [read post]
29 Jul 2013, 7:45 am
Harkonen[24], the government turned the law of statistical analyses in securities fraud on its head, when it prosecuted a pharmaceutical company executive for his role in issuing a press release on clinical trial data. [read post]
18 Apr 2024, 9:01 pm
”[14] As I’ve said before, proactive compliance requires three things: education, engagement, and execution. [read post]
27 Mar 2023, 9:01 pm
In particular, the Second Circuit in SEC v. [read post]
