Search for: "U.S SECURITIES AND EXCHANGE COMMISSION v. SECURE CAPITAL FUNDING CORPORATION et al"
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10 Oct 2009, 2:36 pm
Guttenberg, et al., C.A. [read post]
24 Aug 2022, 9:01 pm
Leading this charge is the Securities and Exchange Commission (“SEC”). [read post]
30 Jul 2015, 11:12 am
Securities and Exchange Commission. [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]
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]
14 Nov 2024, 9:05 pm
Treasury Markets Let me start with the base of our capital markets, the $28 trillion U.S. [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 Nov 2011, 8:57 pm
On October 26, 2011, the Chicago Mercantile Exchange ("CME") performed a spot audit on MF Global. [read post]
15 Feb 2022, 2:05 pm
For example, in Camelot Event Driven Fund v. [read post]
18 Dec 2024, 10:37 am
Securities and Exchange Commission Rule 10b-5. [read post]
24 Jan 2019, 2:36 pm
Securities and Exchange Commission (SEC). [read post]
24 Oct 2023, 9:01 pm
It undermines the investor confidence needed for the fair, efficient, and orderly operation of our markets and for capital formation. [read post]
22 Feb 2023, 1:07 pm
International Trade Commission has required elevated forms of self-disclosure about corporate status for years, with on of the five sitting Administrative Patent Judges (APJs), Cameron Elliot, recently ordering litigation finance discovery in three investigations—perhaps with more on the way, as NPEs and funds have sought to use the ITC more frequently recently to exert leverage in litigation. [25] These disclosure orders and laws come in response to the growing… [read post]
11 Nov 2021, 2:07 pm
Record-Setting Equity Markets and Low Litigation Rates During 3Q of 2021 and 4Q’s kick-off, liquidity permeates the capital markets leading public corporations trading in the U.S. markets to reach $50 trillion in aggregate market capitalization.[12] This is about $20 trillion more than one year ago (~67% increase in market cap during a global pandemic…) and the Federal Reserve is reluctant to restrict the money supply by keeping the… [read post]
11 Apr 2013, 10:12 am
American Petroleum Institute, et al. v. [read post]
12 Jun 2009, 10:49 am
Docket: 08-327 Title: Arizona, et al. v. [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]
18 Apr 2024, 9:01 pm
Put another way: any time you have individuals or corporations trying to capitalize and profit on FOMO, or the “fear of missing out,” around a new technology or offering, it should raise red flags for regulators and compliance professionals alike. [read post]
25 Oct 2022, 10:46 am
Securities and Exchange Commission v. [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]
