Search for: "Securities and Exchange Commission v. Wong"
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9 Mar 2011, 6:05 pm
A few weeks ago the Securities and Exchange Commission (SEC) obtained an injunction and a small fine against Michael Pattison in an options backdating action. [read post]
9 May 2013, 5:20 pm
Good, Cindy V. [read post]
3 Aug 2021, 1:42 pm
In Securities & Exchange Comm’n v. [read post]
26 Sep 2023, 4:49 am
NFTs For an illustrative example of this approach, one need look no further than the recent NFT (non-fungible tokens) enforcement actions taken by the US Securities and Exchange Commission (SEC). [read post]
16 Aug 2021, 3:16 pm
In Securities & Exchange Comm’n v. [read post]
5 Sep 2023, 1:17 pm
The Securities and Exchange Commission has filed charges against five investment advisers for failing to comply with requirements related to the safekeeping of client assets. [read post]
3 Apr 2013, 12:47 pm
Barbato, Securities Exchange Act Release No. 41034), Craighead v. [read post]
27 Mar 2023, 9:01 pm
In particular, the Second Circuit in SEC v. [read post]
2 Oct 2012, 1:08 pm
The Securities and Exchange Commission (SEC) Office of the Whistleblower has today issued seven (7) new Notices of Covered Actions. [read post]
4 Sep 2014, 11:42 am
Laborers District Council — proof needed in a private lawsuit by an investor claiming that a registration statement filed at the Securities and Exchange Commission was untrue Tuesday, November 4 Department of Homeland Security v. [read post]
16 Feb 2021, 2:23 pm
Three California state courts enforced federal forum provisions for Delaware companies in Wong v. [read post]
8 Jul 2012, 4:18 pm
Schapiro did state that the SEC anticipates having a vote on a draft rule later this summer: “The Securities and Exchange Commission will miss its first rulemaking deadline to lift the general solicitation ban as mandated by the Jumpstart Our Business Startups Act, but a draft rule will come to a commission vote this summer. [read post]
29 Sep 2023, 5:55 am
Peacebuilding Commission, created, in 2005 (UN60), partly in response to Security Council reform failures. [read post]
16 May 2017, 7:30 am
Katyal also highlighted the celebrated Second Circuit judge Henry Friendly’s warning about invidious discrimination in Wong Wing Hang v. [read post]
29 Jun 2022, 4:29 am
Scott Wong reports for NBC News. [read post]
7 Jun 2018, 3:01 pm
The Howey Test, deriving from a decades-old case, Securities and Exchange Commission v. [read post]
23 Jul 2017, 9:20 pm
Securities and Exchange Commission’s (SEC) pursuit of “disgorgement”—a type of repayment in which the defendant is required to turn over the gains obtained from violating the securities laws—is properly understood as a “penalty” within the meaning of a five-year statute of limitations on imposition of penalties by the SEC. [read post]
23 May 2021, 8:37 am
European Parliament resolution of 20 May 2021 on Chinese countersanctions on EU entities and MEPs and MPs (2021/2644(RSP))The European Parliament,– having regard to its previous resolutions and reports on the situation in China and EU-China relations, in particular those of 21 January 2021 on the crackdown on the democratic opposition in Hong Kong(1) and of 17 December 2020 on forced labour and the situation of the Uyghurs in the Xinjiang Uyghur Autonomous Region(2)… [read post]
26 Dec 2017, 9:30 pm
Supreme Court in Kokesh v. [read post]
24 Sep 2010, 3:08 pm
Kaltag Tribal CouncilDocket: 09-960Issue(s): Whether Indian tribes in the State of Alaska have authority to initiate and adjudicate child custody proceedings involving a nonmember and then to compel the State to give full faith and credit to the decrees entered in those proceedings.Certiorari-Stage Documents:Opinion below (unpublished, 9th Circuit)Petition for certiorariBrief in oppositionPetitioner's replyAmicus brief of Edward Parks and Donielle TaylorPetitioners' supplemental brief… [read post]
