Search for: "US Securities and Exchange Commission v. Smith"
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31 Jul 2012, 6:32 am
District Court for the Southern District of New York recently held that Goldman Sachs & Co. did not have a duty to publicly disclose the receipt of a Wells Notice from the Securities and Exchange Commission (“SEC”). [read post]
23 Jul 2012, 6:29 am
The Eleventh Circuit Court of Appeals dealt a blow to the Securities and Exchange Commission (“SEC”) and its long-standing practice of seeking broad federal court injunction orders directing defendants to refrain from any future violations of securities laws, often referred to as “obey-the-law” injunctions. [read post]
21 Dec 2022, 6:03 am
Tina Smith (D-Minn) and Rep. [read post]
17 Nov 2023, 10:53 am
Smith v. [read post]
23 Apr 2018, 1:20 am
Supreme Court issued its unanimous decision in Cyan, Inc. v. [read post]
5 Nov 2015, 9:49 pm
Securities and Exchange Commission (SEC) released its final rule on crowdfunding—a largely online-based process of funding projects through numerous donors—that authorizes companies to use crowdfunding to issue securities, and broadens the group of eligible investors for these types of transactions. [read post]
28 Apr 2017, 8:37 am
In contrast to the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC), which consider a company’s disclosure of individuals’ involvement in the misconduct as an important factor in their analysis,[[iii]] the Yates Memo has adopted an “all-or-nothing” approach: it requires corporations to disclose to the DOJ all relevant facts about individuals’ involvement in the misconduct in order to qualify… [read post]
12 Dec 2008, 10:55 pm
§ § 78j(b) and 78t(a), and Rule 10b-5 promulgated thereunder by the Securities and Exchange Commission, 17 C.F.R. [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]
15 Oct 2021, 7:38 am
The Congressional-Executive Commission on China (CECC) has recently announced hearings designed to push forward legislative agendas in the US Congress to produce measures targeting Chinese central authority policies in Hong Kong and Xinjiang. [read post]
8 Jan 2024, 5:42 pm
Moab Partners, L.P. is whether a violation under a Securities and Exchange Commission regulation, Item 303 of Regulation S-K, can support a claim of securities fraud. [read post]
30 Jan 2024, 9:02 pm
”[24] The court continued by observing that: [H]ere, the Provision is used by an agency of the federal government to shield itself from public view. [read post]
23 Oct 2012, 2:06 pm
James Cannell argued that under the test established in Boumediene v. [read post]
30 Jun 2010, 8:51 am
Smith Want to know why so many states and municipalities are insolvent and teetering on bankruptcy? [read post]
6 May 2022, 4:00 am
National/Federal A Decision to Overturn Roe v. [read post]
23 Dec 2019, 11:29 am
(6) Smith v. [read post]
21 Sep 2008, 5:59 pm
"This is another Employee Retirement Income Security Act of 1974 (ERISA) pre-emption case," De Buono v. [read post]
31 Jul 2009, 10:15 am
AmLaw reports:Securities law bloggers have been spilling virtual ink all week on the Second Circuit's July 22 ruling in Securities and Exchange Commission v. [read post]
5 Apr 2019, 5:58 am
Smith, and Kellie C. [read post]
18 Jul 2018, 11:23 am
These agreements were announced in a joint press release of the two corporations and in the third party’s Form 8-K filing with the Securities and Exchange Commission, which included partially redacted copies of both agreements. [read post]
