Search for: "Securities and Exchange Commission v. Sample"
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16 Jun 2022, 9:05 pm
Securities and Exchange Commission on June 16, 2022. [read post]
26 Sep 2017, 9:01 pm
The Commission offers sample questions as well including self-evaluation of the investor’s expertise. [read post]
24 Jan 2020, 1:00 am
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
27 Jul 2022, 9:01 pm
Although unclear, it is possible the SEC may have selected these nine as a representative sample of the types of tokens that could be securities: AMP, a staking token used to guarantee retail payments on the Flexa network. [read post]
2 Sep 2014, 2:23 am
Esther Salas, in The Federal Trade Commission, Plaintiff, v. [read post]
2 Sep 2014, 2:23 am
Esther Salas, in The Federal Trade Commission, Plaintiff, v. [read post]
23 Sep 2013, 2:47 am
Congress tasked the Securities and Exchange Commission (SEC) with developing new rules allowing companies to generally solicit funds, subject to restrictions as determined by the SEC. [read post]
13 Dec 2017, 10:32 am
James V. [read post]
23 Apr 2023, 9:01 pm
It also established this important agency I’m honored to chair, the Securities and Exchange Commission. [read post]
31 Mar 2015, 9:17 am
According to authorities, the homeowners were startled awake by the alarm on their home security system. [read post]
12 Sep 2013, 8:09 am
Of course, it is all of these costs that make the investments so profitable for insurance providers and this is why they are willing to pay such a high commission to the financial advisors willing to sell the products. v. [read post]
16 Jan 2024, 1:19 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
26 Mar 2012, 12:11 pm
In Securities and Exchange Commission v. [read post]
21 Mar 2023, 1:22 am
A sample of representative precedents includes: The People of the State of New York v. [read post]
31 Oct 2012, 9:49 am
Securities & Exchange Commission — definition of time limit for SEC to seek penalties for securities fraud 12-98 — Delia v. [read post]
15 May 2020, 3:29 am
Romeril] Once censorship to regulate “online harms” gets its foothold the topics of its meddlesome ambition will expand [Charles Hymas on demands in Britain that “body shaming” in social media be subject to legal sanction] Tags: free speech, online speech, Securities and Exchange Commission, social media [read post]
3 Oct 2017, 11:14 am
Vanessa Sauter flagged an amicus brief from Orin Kerr submitted in Carpenter v. [read post]
29 Dec 2016, 3:42 am
Here’s this WSJ article by Dave Michaels: A federal appeals court dealt a strong blow to Wall Street’s top cop this week, deciding that the Securities and Exchange Commission’s in-house courts don’t meet constitutional requirements. [read post]
13 Nov 2013, 5:35 am
The foundation of Rule 2010 is Section 15A(b)(6) of the Securities Exchange Act of 1934, which requires FINRA, as a registered securities association, to have and enforce rules that “promote just and equitable principles of trade. [read post]
1 Sep 2014, 9:23 pm
Esther Salas, in The Federal Trade Commission, Plaintiff, v. [read post]
