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Securities and Exchange Commission (the “SEC”) pursuant to Section 13(a) of the Securities Exchange Act of 1934 (the “Exchange Act”). [read post]
16 Apr 2018, 7:02 am by Ronald Mann
Securities and Exchange Commission may be as important a decision for the administrative state as any case the justices have heard all year. [read post]
25 Jan 2018, 6:53 am by John Jascob
Nelson, J.D.The Supreme Court has invited O'Melveny & Myers LLP partner Anton Metlitsky to serve as amicus curiae in Lucia v. [read post]
5 Apr 2011, 8:12 am by admin
” Similarly, Securities and Exchange Commission spokesman John Nester said, “We’re pleased our views factored in the decision. [read post]
10 May 2011, 8:42 am by Kara OBrien
As we discuss in this article, the Department of Justice (“DOJ”) and the Securities and Exchange Commission (“SEC”) have pressed a narrow view of the exception in recent years, and businesses and other defendants, reluctant to test the law’s boundaries at trial, have settled their cases instead. [read post]
1 Dec 2022, 1:58 pm by Kevin LaCroix
  **********************   On November 16, 2022, Dell Technologies Inc. reached a $1 billion settlement with shareholders, according to a recently filed 8-K filed with the U.S Securities and Exchange Commission. [read post]
28 Jun 2010, 8:18 am by J Robert Brown Jr.
§78d(Securities and Exchange Commission), 48 Stat. 1066, 47 U. [read post]
9 Jul 2020, 3:35 pm by Kevin LaCroix
ASX disclosure guidance during pandemic The Government’s approach is consistent with previous guidance released by the Australian Stock Exchange (ASX). [read post]
24 Jun 2022, 4:55 pm by Guest Author
As Justice Breyer’s dissent in Free Enterprise Fund noted, the historical context around the creation of the SEC negates an inference of congressional intent to bestow such protection: the Securities Exchange Act was passed several years after Myers v. [read post]
The Commission on Theft of American Intellectual Property reported in 2017 that the annual “estimated low-end cost of [international] trade secret theft to U.S. firms was $180 billion, or 1% of U.S. [read post]
13 Dec 2019, 6:00 am
Senate Testimony by SEC Chairman Clayton on “Oversight of the Securities and Exchange Commission” Posted by Jay Clayton, U.S. [read post]
10 May 2019, 6:17 am
Securities and Exchange Commission, on Wednesday, May 8, 2019 Tags: Broker-dealers, Capital formation, Cybersecurity, Human capital, Investor protection, Retail investors, SEC, Securities enforcement, Securities regulation, US Senate Cyber Lessons and #MeToo Risk Posted by Laurie Hays and Jamie Singer, Edelman, on Thursday, May 9, 2019 Tags: #MeToo, Board oversight, Boards of… [read post]
27 Nov 2017, 12:53 pm by Eric B. LaPre, Muhammad U. Faridi
The shareholder alleged that the defendant corporation, Bristol-Myers Squibb, and members of its board of directors, failed to monitor the company’s compliance with the Foreign Corrupt Practices Act (“FCPA”), leading to a $14.7 million settlement with the Securities and Exchange Commission. [read post]
28 Mar 2011, 7:02 pm by Tomassi Law Associates
Trustee Want Chapter 11 Trustee for West End Financial The Securities and Exchange Commission and the U.S. [read post]
10 Jan 2011, 8:35 am by Kara OBrien
If a sale is made, the Agent will also collect a 25% “commission. [read post]