Search for: "State v. Investors Security Corporation" Results 81 - 100 of 1,282
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12 Aug 2024, 3:04 pm by Kevin LaCroix
Background Churchill Capital Acquisition Corporation IV (Churchill IV) is a special purpose acquisition corporation (SPAC) formed in April 2020 and that completed an IPO on July 30, 2020. [read post]
5 Jul 2007, 11:57 am
Supreme Court Urged to Approve Scheme Liability in Securities Fraud ActionsAlthough the SEC and DOJ did not file an amicus brief in the scheme liability case now before the Supreme Court, a number of other entities did, including the state securities administrators association, the council of institutional investors, state attorneys general, and eminent law professors.In the case of Stoneridge Investment Partners, LLC v. [read post]
29 Jan 2016, 6:07 am
Political Values, Culture, and Corporate Litigation Posted by Danling Jiang, Florida State University, on Thursday, January 21, 2016 Tags: Accountability, Behavioral finance, Compliance & ethics, Corporate culture, Corporate Social Responsibility,Management, Market reaction, Misconduct, Securities enforcement, Securities litigation, Social networks Acquisition Financing: the Year Behind and the Year Ahead Posted by Eric M. [read post]
10 Jun 2016, 6:15 am
Park, University of California, Los Angeles , on Friday, June 3, 2016 Tags: Disclosure, Dodd-Frank Act, Federalism, Investor protection, Misconduct, Rule 10b-5, Securities Act, Securities fraud, Securities regulation, Shareholder value, SOX, State law, Stock mispricing Remarks on Optimizing the Equity Markets Posted by Mary Jo White, U.S. [read post]
The Working Group on Securities Disclosure Authority respectfully submits these comments on the Commission’s recent proposal related to mandated, standardized climate-related disclosures for investors. [read post]
27 Jul 2013, 3:40 pm by Stephen Bilkis
Sometime in 1970, Congress enacted the Securities Investor Protection Act (SIPA), as amended, which authorized the formation of respondent corporation, a private nonprofit corporation, of which most broker-dealers registered under § 15(b) of the Securities Exchange Act of 1934, § 78o(b), are required to be members. [read post]
25 Feb 2021, 9:08 am by Philip R. Stein and Kenneth Duvall
The most lucrative claims might be securities violations (both state and federal).[1]  But because CLOs are typically distributed to qualified institutional buyers, CLOs are often encompassed by Rule 144A of the Securities Act, meaning that some causes of action under the federal securities act are unavailable. [read post]
7 Dec 2010, 6:33 am by John Jascob
The North American Securities Administrators Association (NASAA) has filed a joint amicus brief with AARP in the case of Janus Capital Partners v. [read post]
2 Nov 2014, 11:14 am by Richard Booth
Securities fraud is back in the Supreme Court in Omnicare, Inc. v. [read post]