Notes of Decisions
Ruben Carnero v. Boston Sci. Corp., 433 F.3d 1 (1st Cir. 2005).
· cites it 3× “Companies subject to the Act are those “with a class of securities registered under section 12 of the Securities Exchange Act of 1934 ( 15 U.S.C. § 781 )” or “required to file reports under section 15(d) of the Securities Exchange Act of 1934 (15 U.”
BMW of North Am., Inc. v. Gore, 517 U.S. 559 (1996).
“892 , 894, as amended, 15 U. S. C. §§781 -78m; Federal Cigarette Labeling and Advertising Act, 79 Stat.”
Sec. & Exch. Comm'n v. Lawbaugh, 359 F. Supp. 2d 418 (D. Md. 2005).
“§ 78u(d)(2), Defendant BE, and the same hereby IS, PERMANENTLY RESTRAINED, ENJOINED, AND PROHIBITED form acting as an officer or director of any issuer that has a class of securities registered pursuant to Section 12 of the Exchange Act, 15 U.S.C. § 781 , or that is required to…”
Lawson v. Fmr Co., Inc., 670 F.3d 61 (1st Cir. 2012).
· cites it 3× “— No company with a class of securities registered under section 12 of the Securities Exchange Act of 1934 ( 15 U.S.C. § 781 ), or that is required to file reports under section 15(d) of the Securities Exchange Act of 1934 (15 U.”
Riverwalk Casino, L.P. v. Pennsylvania Gaming Control Bd., 926 A.2d 926 (Pa. 2007).
· cites it 2× “(F) Records of an applicant or licensee not required to be filed with the United States Securities and Exchange Commission by issuers that either have securities registered under the Securities Exchange Act of 1934 ( 15 U.S.C.A. § 781 ) or are required to file reports under…”
Nathenson v. Zonagen Inc., 267 F.3d 400 (5th Cir. 2001).
“” 15 U.S.C. § 781 (a). 7 . The Court made it clear, however, that negligence alone is insufficient to support liability.”
In Re Initial Pub. Offering Sec. Litig., 241 F. Supp. 2d 281 (S.D.N.Y. 2003).
“§ 78r (liability for misleading statements in certain periodic reports filed with the SEC); Section 20, 15 U.S.C. § 781 (liability for controlling persons); and Section 20A, 15 U.”
DeKalb Cnty. Pension Fund v. Transocean Ltd., 817 F.3d 393 (2d Cir. 2016).
“1990), we concluded that the implied private rights of action in Section 14 were “analogous” to the express private rights of action in Sections 9(f) and 18(a) of the 1934 Act, 15 U.S.C. §§ 781 (f), 7 78r(a), 8 in large part be *398 cause these actions share common goals, 9 We…”
In Re BISYS Sec. Litig., 397 F. Supp. 2d 430 (S.D.N.Y. 2005).
“Fox, former chief financial officer; (5) Russell Fradin, current president and chief executive officer; (6) Kevin Dell, current executive vice president, general counsel, and secretary; and (7) Mark J.”
Nat. Resources Def. Council, Inc. v. Sec. & Exch. Comm'n, 606 F.2d 1031 (D.C. Cir. 1979).
“” Similarly, § 12(b) of the 1934 Act, 15 U.S.C. § 781 (b), provides that the SEC “may by rules [and] regulations require,” in applications for the reg *1051 istration of a class of securities, such information respecting the issuer’s organization, financial structure, nature of…”
15 U.S.C. § 781(g): 1 case
15 U.S.C. § 781(g)(2)(E): 1 case
Annotations are extracted automatically from the opinions in the
Syfert caselaw corpus and ranked by authority, recency, and
treatment. Dots show Syfertize treatment of the citing case itself.