Search for: "Securities and Exchange Commission"
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30 Aug 2024, 3:00 am
In In re Alphabet, the Ninth Circuit held that falsity allegations could survive a motion to dismiss when the complaint plausibly alleged that a company’s Securities and Exchange Commission (SEC) filings warned that risks “could” occur, when in fact those risks had already materialized. [read post]
29 Aug 2024, 9:05 pm
Securities and Exchange Commission to comply with anti-money laundering and counter terrorism financing requirements. [read post]
29 Aug 2024, 7:23 pm
Ct. 2117 (2024) was released, that landmark decision “ruled that the Securities and Exchange Commission (SEC) may not impose fines to penalize securities in its administrative proceedings because that practice violates the Seventh Amendment ‘right of trial by jury’ in all ‘suits at common law. [read post]
29 Aug 2024, 12:57 pm
’” The CFPB’s circular follows recent enforcement efforts by both the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) to crack down on NDAs which restrict whistleblowing. [read post]
29 Aug 2024, 8:56 am
Readout of National Security Advisor Jake Sullivan’s meeting with Chinese Communist Party Politburo Member, Director of the Office of the Foreign Affairs Commission, and Foreign Minister Wang Yi National Security Advisor Jake Sullivan met on August 27-28 with Chinese Communist Party Politburo Member, Director of the Office of the Foreign Affairs Commission, and Foreign Minister Wang Yi outside Beijing, China.… [read post]
29 Aug 2024, 6:22 am
Jaresky, finding that when the Securities Exchange Commission (SEC) claims a defendant has violated securities antifraud provisions and pursues civil penalties, the defendant is entitled to a jury trial in federal court according to the Seventh Amendment. [read post]
29 Aug 2024, 6:22 am
Jaresky, finding that when the Securities Exchange Commission (SEC) claims a defendant has violated securities antifraud provisions and pursues civil penalties, the defendant is entitled to a jury trial in federal court according to the Seventh Amendment. [read post]
28 Aug 2024, 8:20 am
The Securities and Exchange Commission today adopted amendments to reporting requirements on Form N-PORT to provide the Commission and investors with more timely information about certain registered investment companies (funds). [read post]
28 Aug 2024, 7:43 am
Securities and Exchange Commission (SEC), as well as those that report to the SEC as exempt reporting advisers. [read post]
28 Aug 2024, 6:24 am
.'” “Attorney Who Tipped SEC About Client Loses Appeal Over Award” — “An attorney who blew the whistle on his client can’t collect an award from the Securities and Exchange Commission because the disclosure wasn’t permitted by state bar rules, a federal appeals court decided. [read post]
27 Aug 2024, 10:00 pm
The Securities and Futures Commission (the SFC) and the Stock Exchange of Hong Kong (HKEX or the Exchange) jointly announced on 23 August 2024 temporary modifications (the Temporary Modifications) to certain requirements relating to the listing of Specialist Technology Companies (STCs) and De-SPAC Transactions. [read post]
27 Aug 2024, 10:00 pm
The Securities and Futures Commission (the SFC) and the Stock Exchange of Hong Kong (HKEX or the Exchange) jointly announced on 23 August 2024 temporary modifications (the Temporary Modifications) to certain requirements relating to the listing of Specialist Technology Companies (STCs) and De-SPAC Transactions. [read post]
27 Aug 2024, 10:00 pm
The Securities and Futures Commission (the SFC) and the Stock Exchange of Hong Kong (HKEX or the Exchange) jointly announced on 23 August 2024 temporary modifications (the Temporary Modifications) to certain requirements relating to the listing of Specialist Technology Companies (STCs) and De-SPAC Transactions. [read post]
27 Aug 2024, 10:00 pm
The Securities and Futures Commission (the SFC) and the Stock Exchange of Hong Kong (HKEX or the Exchange) jointly announced on 23 August 2024 temporary modifications (the Temporary Modifications) to certain requirements relating to the listing of Specialist Technology Companies (STCs) and De-SPAC Transactions. [read post]
27 Aug 2024, 10:00 pm
The Securities and Futures Commission (the SFC) and the Stock Exchange of Hong Kong (HKEX or the Exchange) jointly announced on 23 August 2024 temporary modifications (the Temporary Modifications) to certain requirements relating to the listing of Specialist Technology Companies (STCs) and De-SPAC Transactions. [read post]
27 Aug 2024, 10:00 pm
The Securities and Futures Commission (the SFC) and the Stock Exchange of Hong Kong (HKEX or the Exchange) jointly announced on 23 August 2024 temporary modifications (the Temporary Modifications) to certain requirements relating to the listing of Specialist Technology Companies (STCs) and De-SPAC Transactions. [read post]
27 Aug 2024, 9:01 pm
SDNY Judge Holds SEC Failed to Adequately Plead Risk Disclosure and Controls Claims in SolarWinds On July 18, 2024, the United States District Court for the Southern District of New York issued an opinion in Securities and Exchange Commission v. [read post]
27 Aug 2024, 3:33 pm
Kohn of Kohn, Kohn & Colapinto overviews 5 major differences between the DOJ Whistleblower Program and the highly successful Dodd-Frank Act whistleblower programs at the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC). [read post]
27 Aug 2024, 2:25 pm
SLS Professor Emeritus and former SEC Commissioner Joseph GrundfestIn the Nvidia case, Stanford Law School Professor Emeritus Joseph Grundfest, a former commissioner of the Securities Exchange Commission, recently filed an amicus brief on behalf of the company urging the Court not to let the Ninth Circuit’s decision stand. [read post]
27 Aug 2024, 10:35 am
The Securities and Exchange Commission today announced charges against China-based investment adviser QZ Asset Management Limited a/k/a Qianze Asset Management Limited (QZ Asset), its South Dakota-based holding company QZ Global Limited, and the CEO of…Read the Full Press Release Have a securities law question? [read post]
