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30 Jan 2024, 9:02 pm by renholding
”[2]  In that same policy, the Commission articulated its belief “that a refusal to admit the allegations is equivalent to a denial, unless the defendant or respondent states that he neither admits nor denies the allegations. [read post]
6 Sep 2023, 9:01 pm by renholding
When it approved the CAT, the Commission stated that plan participants could “recoup their regulatory costs . . . through the collection of fees from their members, as long as such fees are reasonable, equitably allocated, and not unfairly discriminatory. [read post]
27 Jun 2023, 9:01 pm by renholding
Congress has been very clear in the federal securities laws when it intends to preempt state law, such as in the National Securities Markets Improvement Act[44] or the Jumpstart Our Business Startups Act.[45] Indeed, such a broad claim of Commission authority might raise issues under the major questions doctrine discussed in West Virginia v. [read post]
28 Mar 2023, 9:01 pm by renholding
In a statement, Commissioner Hester Peirce objected to the proposed amendments as overly prescriptive. [read post]
23 Feb 2023, 6:23 am by Scott H. Kimpel
In her dissenting statement, Commissioner Hester Peirce identified what she believes to be a number of issues with the workability and effectiveness of the proposed rules. [read post]
1 Nov 2022, 8:38 am by Race to the Bottom
Even the Chamber of Digital Commerce notes in its amicus brief for SEC v. [read post]
2 Sep 2022, 6:30 am
FEC, Disclosure, Political spending, State law, Taxation SEC Bulletin on Conflicts of Interest for Broker-Dealers and Investment Advisers Posted by W. [read post]