Search for: "Securities and Exchange Commission v. Kaplan"
Results 1 - 20
of 31
Sorted by Relevance
|
Sort by Date
4 Apr 2013, 9:00 am
Kaplan Shannon Rose Selden Each fund manager is designated with a risk rating by the Securities and Exchange Commission. [read post]
4 Apr 2013, 9:00 am
Kaplan Shannon Rose Selden Each fund manager is designated with a risk rating by the Securities and Exchange Commission. [read post]
16 Dec 2022, 6:30 am
Securities and Exchange Commission, on Thursday, December 15, 2022 Tags: corporate disclosure, Insider trading, Institutional Investors, Rule 10b-5-1, SEC, SEC enforcement [read post]
16 Dec 2022, 6:30 am
Securities and Exchange Commission, on Thursday, December 15, 2022 Tags: corporate disclosure, Insider trading, Institutional Investors, Rule 10b-5-1, SEC, SEC enforcement [read post]
13 Nov 2012, 11:54 am
Kaplan, 514 U.S. 938 (1995). [read post]
11 Jan 2009, 7:21 am
This post is by my colleagues Michael Kaplan, Richard J. [read post]
4 Nov 2022, 6:30 am
Securities and Exchange Commission, on Monday, October 31, 2022 Tags: Investment advisers, Investment Advisers Act, legal framework, regulation, SEC, SEC enforcement Lessons from Twitter v. [read post]
3 Aug 2018, 6:10 am
Silverman, Cleary Gottlieb Steen & Hamilton LLP, on Monday, July 30, 2018 Tags: Broker-dealers, Exchange Act, Investment banking, Janus Capital v. [read post]
9 May 2007, 6:38 pm
Lastly, Peter Kaplan of Reuters reports here on Enron investors' plea asking the Securities and Exchange Commission to file an amicus brief supporting their Supreme Court appeal; and the AP's Marcy Gordon has this article on the SEC's involvement in the securities fraud case, Stoneridge Investment Partners v. [read post]
12 Nov 2021, 6:07 am
Securities and Exchange Commission, on Thursday, November 11, 2021 Tags: Hedge funds, Institutional Investors, Mutual funds, Private equity, Private funds, SEC, SEC rulemaking, Securities regulation, Transparency [read post]
31 Jul 2012, 6:32 am
District Court for the Southern District of New York recently held that Goldman Sachs & Co. did not have a duty to publicly disclose the receipt of a Wells Notice from the Securities and Exchange Commission (“SEC”). [read post]
31 Jul 2012, 6:32 am
District Court for the Southern District of New York recently held that Goldman Sachs & Co. did not have a duty to publicly disclose the receipt of a Wells Notice from the Securities and Exchange Commission (“SEC”). [read post]
21 Oct 2021, 9:03 pm
Securities and Exchange Commission (SEC) could address the harm resulting from the lack of regulation in digital asset markets. [read post]
7 Aug 2015, 6:00 am
[More…] Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act by the Securities and Exchange Commission The Commission has taken action to address virtually all of the mandatory rulemaking provisions of the Dodd-Frank Act. [read post]
12 Aug 2022, 6:51 am
Securities and Exchange Commission, on Thursday, August 11, 2022 Tags: CFTC, Disclosure, Form PF, Hedge funds, Institutional Investors, Private equity, Private funds, SEC, SEC rulemaking, Securities regulation [read post]
12 Aug 2022, 6:51 am
Securities and Exchange Commission, on Thursday, August 11, 2022 Tags: CFTC, Disclosure, Form PF, Hedge funds, Institutional Investors, Private equity, Private funds, SEC, SEC rulemaking, Securities regulation [read post]
11 Aug 2015, 5:46 am
See, Kaplan v. [read post]
6 Jul 2015, 6:50 am
Should the Commission appoint its own ALJs? [read post]
26 Jan 2018, 6:28 am
Ct. 1635 (2017), that the Securities and Exchange Commission’s (SEC or Commission) disgorgement power constitutes a penalty subject to a five-year statute of limitations. [read post]
18 Nov 2022, 6:30 am
Lu, Sabastian V. [read post]
