Search for: "State v. Investors Security Corporation"
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5 Mar 2024, 5:40 am
By Suzanne CosgroveThe Council of Institutional Investors (CII) has urged the SEC to initiate new rulemaking that will make it easier to trace shares sold into the marketplace through both direct listings and initial public offerings and, in the process, protect investors’ rights under Section 11 of the Securities Act of 1933.The CII said the urgency of its petition is in part a response to the Supreme Court decision Slack Technologies, LLC v. [read post]
1 Mar 2024, 3:30 am
In the Slack case, the SCOTUS held that an investor plaintiff who is seeking a remedy under Section 11 of the Securities Act must prove that the shares that they hold are traceable to a registration statement. [read post]
25 Feb 2024, 9:05 pm
Through private ordering, each company may tailor shareholder proposal rights to best meet its needs, and securities markets may efficiently price those rights for the benefit of investors. [read post]
23 Feb 2024, 6:52 am
In the complaint against the SEC in a Texas district court, Lejilex and Crypto Freedom Alliance of Texas ask for a declaratory judgment that Lejilex’s crypto exchange is not subject to SEC registration and that the crypto trades on the exchange are not sales of securities (Lejilex v. [read post]
15 Feb 2024, 9:08 pm
An external auditor’s confirmed AUSTRAC’s concerns regarding Gold Corporation’s non-compliance with its anti-money laundering obligations. [read post]
11 Feb 2024, 9:01 pm
Case Background The Supreme Court is poised to resolve this circuit split in Macquarie Infrastructure Corporation v. [read post]
6 Feb 2024, 11:04 am
Supreme Court in the Macquarie Infrastructure Corporation v. [read post]
5 Feb 2024, 5:21 pm
Class V. [read post]
1 Feb 2024, 9:05 pm
Supreme Court decision in Morrison v. [read post]
31 Jan 2024, 9:01 pm
Based on data from Cornerstone Research through Sept. 30, 2023, plaintiffs were on pace to file approximately 216 federal and state securities class actions last year — a slight increase over the 208 suits brought in 2022 and roughly on par with the 218 suits brought in 2021. [read post]
30 Jan 2024, 9:02 pm
”[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]
26 Jan 2024, 4:00 am
” In reality, Rule 1.8.5(a) does state the general bar on such payments. [read post]
25 Jan 2024, 4:06 am
That same year, in Caratube v Kazakhstan, confidential information was leaked from the Kazakh government’s IT system and the claimant eventually obtained some of the leaked documents. [read post]
23 Jan 2024, 9:01 pm
The securities class action accused Allianz of similarly harming investors, and provides a recovery to those investors. 6.) [read post]
22 Jan 2024, 9:05 pm
SEC, 463 U.S. 646 (1983). [4] United States v. [read post]
22 Jan 2024, 9:01 pm
And since we are in San Diego and I am a former California state securities regulator, let me throw in one more — Regulation CE, a Commission exemption for transactions exempt from qualification under Section 25102(n) of the California Corporations Code.[9] Each exemption differs on particular factors, such as whether general solicitation is permitted, the types of issuers that can use the exemption, the types of investors that can purchase under the… [read post]
16 Jan 2024, 1:19 pm
Securities Litigation in the U.S. [read post]
16 Jan 2024, 11:33 am
DeJoy and Students for Fair Admissions, Inc. v. [read post]
10 Jan 2024, 9:01 pm
[8] See, e.g., Securities and Exchange Commission Office of Investor Education and Advocacy, “Exercise Caution with Crypto Asset Securities: Investor Alert” (March 23, 2023), available at https://www.investor.gov/introduction-investing/general-resources/news-alerts/alerts-bulletins/investor-bulletins/crypto-asset-securities. [read post]
9 Jan 2024, 6:47 am
Swatting away the claimant’s reliance on Wilson v Great American Industries [1988], he opined that Zappia ‘read[s] too much into too little.'” “Moreover, the judge held that even if Skadden had a conflict of interest, it would not have been material to a reasonable investor, because the information about the firm’s representation of other Sumitomo Group entities was publicly available and did not significantly alter the total mix of information in… [read post]
