Search for: "Securities and Exchange Commission v. May"
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25 Feb 2011, 8:00 am
In Securities and Exchange Commission v. [read post]
28 Aug 2023, 4:00 am
The Court had asked the Securities and Exchange Commission to offer its opinion on whether they were securities and the SEC declined to do so. [read post]
3 Jan 2013, 6:56 am
In that post, Professor Clarke notes how the US Securities and Exchange Commission (SEC) is seeking to obtain the workpapers of the auditors of Chinese companies publicly listed on US stock exchanges and of how last month the SEC started proceedings against the Chinese affliates of “five big accounting firms. [read post]
6 Aug 2012, 5:00 am
Section 12(g) requires any corporation with 500 or more shareholders of record and more than $10 million in assets to register with the Securities and Exchange Commission (“SEC”). [read post]
9 Dec 2011, 5:00 am
Nov. 8, 2011), the court granted the Securities and Exchange Commission’s (“SEC”) motion for summary judgment against the defendant for insider trading in violation of Section 10(b) of the Securities and Exchange Act of 1934 and Section 17(a) of the Securities and Exchange Act of 1933. [read post]
19 Oct 2007, 5:15 am
On September 5, 2007, the Securities and Exchange Commission (Commission) initiated a settled inforcement action against the Boston Stock Exchange (BSE), and its former president, James B. [read post]
5 Jan 2021, 3:00 am
Securities and Exchange CommissionLiu v. [read post]
5 Nov 2019, 1:45 pm
Securities and Exchange Commission. [read post]
13 May 2020, 8:55 pm
On 11 May 2020, the European Commission hosted a meeting of the Expert Group of European Securities Committee (EGESC), which is composed of Member States experts. [read post]
28 Feb 2023, 4:59 am
EPA and the potential impact the cases may have on rulemaking from financial regulators like Federal Reserve Board, the Securities and Exchange Commission, and the Commodity Futures Trading Commission. [read post]
9 May 2012, 7:00 am
The staff of the Securities and Exchange Commission (“SEC”) recently released a study on the cross-border scope of the private right of action under Section 10(b) of the Securities Exchange Act of 1934 (the “Exchange Act”), 15 U.S.C. [read post]
21 Nov 2009, 4:14 pm
To the Securities and Exchange Commission: On November 18, 2009, Overstock.com (NASDAQ: OSTK) held conference call where CEO Patrick M. [read post]
4 May 2010, 2:30 am
Financial Services Authority and Others v Amro International SA Court of Appeal “The Financial Services Authority was entitled to order production of documents from accountants at the request of the US Securities and Exchange Commission without subjecting the request to critical examination. [read post]
29 Apr 2013, 3:16 am
Securities and Exchange Commission v. [read post]
23 Aug 2010, 8:00 am
SEC v. [read post]
25 Apr 2010, 5:00 am
Rather than seek permission from the Securities and Exchange Commission to exclude the proposal, the usual approach, the company instead filed suit (Apache v. [read post]
24 Apr 2009, 5:00 am
This occurred in connection with CA v. [read post]
30 Apr 2018, 1:35 pm
Purple SEC HazeIn Securities and Exchange Commission, Plaintiff, v. [read post]
16 May 2016, 5:33 am
Securities and Exchange Commission, Plaintiff, v. [read post]
3 Feb 2017, 3:17 am
Purple SEC HazeIn Securities and Exchange Commission, Plaintiff, v. [read post]
