Year: 2015

Deadlines And SEC Enforcement: When 180 Days Is Not 180 Days

When does a 180 day deadline not mean that in 180 days time is up? Answer: When the SEC says so and the DC Circuit gives the conclusion Chevron deference. That is the holding of Montford and Company, Inc. v.

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This Week In Securities Litigation (Two weeks ending July 10 , 2015)

The Ninth Circuit upheld a conviction for illegal tipping, following Dirks but raising doubt regarding its adherence to Newman in an opinion authored by Judge Rakoff, sitting by designation. The Commission filed settled proceedings against Goldman Sachs and KKR for,

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