Search for: "Securities and Exchange Commission v. World Capital Market Inc. et al"
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31 Oct 2022, 7:56 am
By Nina Rice* The history of New York’s statutory law pertaining to the art market is relatively brief despite the state’s long held status as the art capital of the United States, if not the world. [read post]
1 Feb 2023, 9:01 pm
The passage of the Securities Act and the Exchange Act, and the authority that Congress gave to the Commission, reflected an intentional and marked departure from that dark default. [read post]
13 Oct 2024, 9:01 pm
On September 17, 2024, the Securities and Exchange Commission (the “SEC” or the “Commission”) announced the settlement of administrative cease-and-desist orders with 11 institutional investment managers for failures to timely report securities holdings required on Form 13F, as required by Exchange Act Section 13(f) and Rule 13f-1.[1] Two of the managers were also charged with failing to file as “large traders”… [read post]
14 Nov 2024, 9:05 pm
At more than 40 percent of the world’s capital markets,[3] we punch above our weight class of just 24 percent of the world economy.[4] This didn’t just happen by chance. [read post]
17 Mar 2025, 9:01 pm
It has been a privilege to serve these past couple of months as the Acting Chairman of the Securities and Exchange Commission.[1] This year also marks a personal milestone – my thirtieth year of legal practice, which started out as a first-year associate in the ’40 Act practice of a major law firm. [read post]
10 Jul 2024, 9:01 pm
Securities and Exchange Commission (“SEC”). [read post]
14 Feb 2018, 2:57 pm
Securities and Exchange Commission, 581 U.S. ___ (2017), that the SEC’s ability to recover funds through disgorgement is subject to a five-year statute of limitations. [read post]
28 Jan 2023, 7:32 am
Meanwhile, the Securities and Exchange Commission unveiled a slew of guidance and rule proposals to improve disclosures and add clarity to ESG investing, including the agency’s controversial proposal for climate risk disclosure. [read post]
18 Dec 2024, 10:37 am
Securities and Exchange Commission Rule 10b-5. [read post]
26 Jul 2023, 9:01 pm
The fast timeline for disclosing cyber incidents could lead to disclosures that are “tentative and unclear, resulting in false positives and mispricing in the market. [read post]
11 Aug 2024, 9:01 pm
Securities and Exchange Commission on March 6, 2024 incorporates traditional notions of materiality as a basis for most elements of the required disclosures. [read post]
31 Oct 2018, 11:21 am
(relisted after the October 26 conference) CTIA-The Wireless Association, et al. v. [read post]
25 May 2022, 9:01 pm
In this article, we begin with the Securities and Exchange Commission (“SEC”) regulations that mandate risk disclosures, and the federal statutes that create civil liability for misleading statements. [read post]
18 Jul 2022, 2:46 pm
Regular readers of this blog know my view that the rise of collective investor actions outside the United States is one of the most important developments in the world of directors’ and officers’ liability in recent years. [read post]
18 Apr 2024, 9:01 pm
And it means staying abreast of how potential AI-related issues are actually impacting companies in the real world. [read post]
3 Oct 2023, 9:01 pm
Ulrich Kranz et al. [read post]
24 Oct 2018, 4:33 pm
By way of background, on September 20th, 2017, Securities and Exchange Commission (SEC) Chairman Jay Clayton announced a data breach into the SEC’s Electronic Data Gathering and Retrieval (EDGAR) system, a vast database that contains information about company earnings, share dealings by top executives and corporate activity such as mergers and acquisitions. [read post]
26 Dec 2011, 7:12 am
Steel Investment Canada Case On November 24, 2011, the Supreme Court of Canada denied leave in United States Steel Corporation et al. v. [read post]
25 Dec 2011, 11:54 am
Steel Investment Canada Case On November 24, 2011, the Supreme Court of Canada denied leave in United States Steel Corporation et al. v. [read post]
2 Oct 2017, 4:50 pm
Lohmus, Havel & Viisemann, et al in 2005. [read post]
