Search for: "Securities and Exchange Commission v. May"
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2 May 2022, 8:31 pm
Securities and Exchange Commission). [read post]
5 Oct 2017, 12:00 am
SEC v. [read post]
31 Jul 2018, 6:21 am
Securities and Exchange Commission. [read post]
19 Apr 2023, 9:11 am
The second case, Securities and Exchange Commission v. [read post]
14 Aug 2012, 5:01 am
In Finn v. [read post]
22 Jun 2020, 12:30 pm
Securities and Exchange Commission struck a middle ground, rejecting the broad argument that the SEC could never obtain disgorgement of profits from unlawful activity in securities litigation, but sharply cutting back the remedy as the SEC has envisioned it in recent years. [read post]
6 Aug 2021, 2:09 pm
In Alpine Securities Corp. v. [read post]
7 Aug 2018, 9:07 am
Bats BZX Exchange, Inc., failed to convince three members of the Commission that its surveillance-sharing agreement with the Winklevoss twins’ Gemini Exchange was sufficient to prevent fraud and manipulation, as required by the Exchange Act. [read post]
22 Jun 2012, 2:00 am
On Wednesday, the Securities and Exchange Commission adopted a rule requiring the national securities exchanges and national securities associations to prohibit the listing of any equity security of an issuer that is not in compliance with the compensation committee and compensation adviser requirements in Section 10C of the Securities Exchange Act of 1934. [read post]
27 Feb 2018, 12:00 am
Reynolds’ (“Reynolds”) motion to dismiss a Securities and Exchange Commission (“SEC”) complaint for failure to state a claim. [read post]
6 Apr 2010, 1:59 pm
There are a variety of circumstances under which investors may provide sensitive tax-related information to the Securities and Exchange Commission; they may be victims of securities fraud eager to assist the SEC in recovering lost monies or, under the SEC's newly-developed policy of encouraging and rewarding cooperation -- previously reported here -- they may be low-level participants in the fraud anxious to prove their bona… [read post]
29 Jun 2020, 11:20 am
Securities & Exchange Comm’n, 137 S. [read post]
23 Feb 2016, 7:36 am
The leaders of the Securities and Exchange Commission (“SEC” or “Commission”) addressed the public on February 19-20 at the annual SEC Speaks conference in Washington, D.C. [read post]
18 Oct 2017, 12:00 am
In Acosta v. [read post]
4 Dec 2011, 5:07 pm
Securities and Exchange Commission Inspector General H. [read post]
28 Feb 2023, 6:06 am
“Big Law Firms Back Covington in SEC Fight Over Client Data” — “A total of 83 US law firms are backing Covington & Burling in its fight with the Securities and Exchange Commission over client data. [read post]
10 Apr 2012, 11:07 am
The disclosure documents in question were filed exclusively with the United States Securities and Exchange Commission rather than any Canadian securities regulator, and the issuer is not a “reporting issuer” under the Ontario Securities Act. [read post]
2 May 2012, 11:29 am
SinoTech Energy Ltd., Securities and Exchange Commission is suing SinoTech Energy Ltd. [read post]
4 May 2018, 6:01 am
Securities and Exchange Commission, on Friday, April 27, 2018 Tags: Capital formation, Capital markets, Disclosure, Equity offerings, IPOs, Private firms, SEC, Securities regulation, Small firms, Underpricing, Underwriting Which Antitakover Provisions Matter? [read post]
21 Dec 2023, 4:24 pm
Readers may recall that I have penned several posts on the subject whether coal is a mineral for purposes of the Securities and Exchange Commission's resource extraction disclosure rules: Is Coal A Mineral And Why Ask? [read post]
