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10 Sep 2013, 9:31 am
Ct. 2869 (2010), regarding antifraud provisions of the U.S. securities laws, the Supreme Court held that “Section 10(b) [of the Securities Exchange Act of 1934] reaches the use of a manipulative or deceptive device or contrivance only in connection with the purchase or sale of a security listed on an American stock exchange, and the purchase or sale of any other security in the United States. [read post]
7 Jun 2023, 6:47 am
Since at least 2019, the Commission says, Coinbase has made billions by facilitating the buying and selling of crypto asset securities. [read post]
17 Aug 2022, 3:10 pm
[Assessing an aggressive Fifth Circuit opinion declaring Securities & Exchange Commission proceedings unconstituional.] [read post]
22 May 2012, 6:26 pm
Whistleblower Rodolfo Michelon is suing the Federal Bureau of Investigation and the Securities and Exchange Commission in an effort to obtain records connected to the their probe into his employer, Sempra Energy (SRE). [read post]
14 Jun 2012, 2:04 pm
On June 12, 2012, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against James Fleishman. [read post]
14 Jun 2012, 2:04 pm
On June 12, 2012, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against James Fleishman. [read post]
25 Jun 2012, 3:35 pm
Court of Appeals for the 11th Circuit in Securities and Exchange Commission v. [read post]
2 Mar 2016, 12:00 pm
Securities and Exchange Commission (“SEC” or the “Commission”) ruled that Former Neuberger Berman Analyst Sandeep “Sandy” Goyal, whom the SEC previously barred from the securities industry after he pled guilty to insider trading, could participate in the industry again. [read post]
6 May 2013, 4:34 am
The Securities and Exchange Commission (“SEC”) just released a Report Under Section 21(a) of the Exchange Act (Securities Exchange Act of 1934 Release No. 69516, May 6, 2013). [read post]
13 Mar 2014, 4:00 am
The Commodity Futures Trading Commission (CFTC) has issued guidance for CFTC-regulated financial institutions on compliance with the security safeguards provisions of Title V of the Gramm-Leach-Bliley Act (GLBA). [read post]
17 May 2022, 4:10 am
The case is Securities and Exchange Commission v. [read post]
9 Jun 2012, 5:00 am
To do so, the court employed the three-part test developed by the United States Supreme Court in Securities and Exchange Commission v. [read post]
23 Feb 2012, 5:00 am
Securities and Exchange Commission’s (“SEC”) motion for summary judgment against defendants Allen E. [read post]
19 Jan 2023, 12:49 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
16 Jun 2022, 9:05 pm
Securities and Exchange Commission on June 16, 2022. [read post]
5 Feb 2015, 9:15 pm
Tweet Tags: EEOC, retaliation, Securities and Exchange Commission, sued if you doSued if you do: SEC vs. [read post]
8 May 2012, 5:00 am
Feb. 9, 2012), the court granted the Securities and Exchange Commission’s (“SEC”) Ex Parte Motion to Show Cause and denied the Securities Investor Protection Corporation’s (“SIPC”) Motion to Strike the SEC’s motion. [read post]
6 Jun 2017, 12:42 pm
§ 2462 applies to disgorgement sought by the Securities and Exchange Commission. [read post]
16 Nov 2010, 8:10 am
The defendant filed a Motion to Dismiss both claims brought by the Securities and Exchange Commission (“SEC”). [read post]
23 Jan 2012, 5:00 am
Aug. 26, 2011), the District Court for the District of Colorado denied the Securities and Exchange Commission’s (“SEC”) motion for temporary restraining order and other emergency relief. [read post]
