Search for: "Securities and Exchange Commission v. Lawson" Results 1 - 20 of 25
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17 Sep 2010, 8:15 am by Lawrence Solum
Public Company Accounting Oversight Board, the Supreme Court decided important questions of structural constitutionalism on the assumption, shared by all of the parties, that members of the Securities and Exchange Commission are not removable at will by the President. [read post]
9 Oct 2012, 7:06 am by Richard Renner
  Before the First Circuit, however, the Solicitor of Labor and the Securities and Exchange Commission (SEC) both filed amicus briefs urging the First Circuit to find that the Sarbanes Oxley Act (SOX) did cover employees, like Jackie Lawson and Jonathan Zang, who work for contractors of publicly traded companies. [read post]
6 Nov 2009, 4:52 am
  The case concerns the constitutionality of the Public Company Accounting Oversight Board, an independent entity appointed by the Securities and Exchange Commission. [read post]
9 Apr 2018, 12:59 pm
Most notably, Sarbanes-Oxley applies to all “employees” who report misconduct to the Securities and Exchange Com­mission (SEC or Commission), any other federal agency, Congress, or an internal supervisor. 18 U. [read post]
22 Feb 2018, 7:30 am by Theresa Gabaldon
The term “whistleblower” appeared multiple times throughout the several pages of new Section 21F of the Securities Exchange Act of 1934 and was specifically defined as “any individual who provides … information relating to a violation of the securities laws to the Commission, in a manner established, by rule or regulation, by the Commission. [read post]
30 Oct 2013, 8:00 am by Geoffrey Rapp
Importantly, SOX targets the firms subject to disclosure requirements under the regulatory authority of the Securities and Exchange Commission (“SEC”). [read post]
27 Jun 2010, 6:50 pm by Anna Christensen
Public Company Accounting Oversight Board (08-861) Argued: Dec. 7, 2009 Issue: Whether the Sarbanes-Oxley Act is consistent with separation-of-powers principles – as the Public Company Accounting Oversight Board is overseen by the Securities and Exchange Commission, which is in turn overseen by the President – or contrary to the Appointments Clause of the Constitution,  as the PCAOB members are appointed by the SEC. [read post]
16 Nov 2009, 4:00 am
Bruff Congress created the Public Company Accounting Oversight Board PCAOB under the umbrella of the Securities and Exchange Commission. [read post]
7 May 2013, 10:00 am by Mary Dwyer
International Securities Exchange, LLC v. [read post]
22 Sep 2020, 7:24 am by John Jascob
Second, the Court held that the Commission did not exceed its rulemaking authority by adopting Exchange Act Rule 14e-3(a) to bar trading on undisclosed information in tender offers, even in the absence of a duty to disclose.It is the first question in O’Hagan that has likely drawn the most commentary. [read post]
18 Feb 2012, 5:15 am by Richard Renner
Such funds are covered by the Securities Exchange Act (1934 Act) and are required to file disclosures with the Securities and Exchange Commission (SEC), just like other publicly traded companies. [read post]