Search for: "State v. Investors Security Corporation" Results 101 - 120 of 1,338
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22 Feb 2017, 8:22 am by Doug Cornelius
Federal law uses some variation of the factors stated in S.E.C. v. [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]
2 Nov 2014, 11:14 am by Richard Booth
Securities fraud is back in the Supreme Court in Omnicare, Inc. v. [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]
9 May 2017, 6:30 am
By rejecting this argument and emphasizing that federal securities law regulates disclosure while state corporate law regulates the internal affairs of the corporation, the Supreme Court helped open the door to Delaware’s dominance of corporate law for the next two decades. [read post]
18 Nov 2010, 8:04 pm
(being the general criminal law) and not under any specific corporate or securities legislation. [read post]
5 Aug 2017, 5:37 pm
  Access to recorded classes will be controlled via a secure course management platform, such as ANGEL, and will be restricted to students enrolled in the recorded course, the professor, and those University IIT personnel necessary to maintain the system. [read post]
25 Apr 2022, 1:39 pm by Kevin LaCroix
The complaint purports to be filed on behalf of two classes of investors: investors who purchased securities of VIH or, post-combination, of Bakkt, between March 31, 2021 (the date VIH filed its Form S-4 with the SEC in connection with the planned business combination) and November 19, 2021 (the trading date before the date Bakkt announced the need to restate the prior VIH financial statements); and investors who purchased common stock traceable to the Offering… [read post]