Search for: "Securities Investor Protection Corp. v. Executive SEC. Corp."
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18 Apr 2024, 9:01 pm
”[14] As I’ve said before, proactive compliance requires three things: education, engagement, and execution. [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]
5 Dec 2023, 9:05 pm
., LLC v. [read post]
16 Aug 2023, 10:52 am
In 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]
27 Mar 2023, 9:01 pm
In particular, the Second Circuit in SEC v. [read post]
1 Feb 2023, 9:01 pm
Investor Protection. [read post]
28 Jan 2023, 7:32 am
It underlines the strong connection between purpose, concepts of maximization, and the protections of markets as the driving force of economic activity (around which states serve to protect their own interests through regulation and the protection of a level playing field in which they shed their political advantage when they enter the market (and the market distinguishes between between public (political) and private (economic) activity on the basis of some sort of value… [read post]
15 Jan 2023, 2:35 pm
Companies should err on the side of retaining separate counsel for the individual(s).[19] The Yates Memorandum may increase the risks of waiver of attorney-client privilege and work product protection.[20] COOPERATING WITH THE SECURITIES AND EXCHANGE COMMISSION When facing an SEC investigation, companies should be familiar with key frameworks, statements, and expectations. [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]
25 May 2022, 9:01 pm
Compare In re NVIDIA Corp. [read post]
15 Feb 2022, 2:05 pm
For example, in Sustainable Opportunities Acquisition Corp. v. [read post]
14 Feb 2022, 12:25 pm
Toshiba Corp., 2022 U.S. [read post]
3 Jan 2022, 12:39 pm
Finally, there were also two SPAC-related SEC enforcement actions filed during 2021 as well (refer here and here). [read post]
13 Jul 2021, 5:30 am
I’d been moved from the executive floor on the 49th floor down to the HR offices on the 16th floor. [read post]
16 Feb 2021, 2:23 pm
Newlink Genetics Corp., 965 F.3d 165, 174-76 (2d Cir. 2020); Jaroslawicz v. [read post]
4 Jan 2021, 1:26 pm
Regardless of how they are counted, the coronavirus-related securities lawsuits tended to fall into one of three categories: first, the lawsuit filed against companies that experienced coronavirus outbreaks within company facilities (such as cruise ship lines and private prison systems); second, companies that had sought to tout their ability to profit from the coronavirus outbreak (such as vaccine developers, diagnostic testing services, manufacturers of personal… [read post]
15 Sep 2020, 3:03 pm
Names and facts have been changed to protect client confidentiality and clarify practice pointers. [read post]
3 May 2020, 12:08 pm
LabCorp informed investors of the breach in a June 4, 2019 SEC filing. [read post]
16 Mar 2020, 1:54 pm
E.g., SEC v. [read post]
