By Burton W. Wiand
That a state insurance agency relies, for revocation purposes, upon a sanction for refusing a FINRA Rule 8210 request,
By Ben Suter
Proof of investors’ expectations in a company’s future business is insufficient to prove an “expectation of profits” required for an investment to be a “security” under securities laws.
By Paul J. Dubow
*Under the federal ingredient doctrine, a well-pled complaint arises under the laws of the United States if a state law cause of action “requires resolution of a substantial question of federal law”
By James L. Komie
The SEC’s decision that it does not have jurisdiction to hear a claim for damages filed by market makers against the CBOE and NASDAQ is not unreasonable and must be affirmed under the Chevron Deference Doctrine.
By Noah D. Sorkin
A defendant violates New York Penal Code §165.07 when he reproduces a company’s proprietary computer code in a tangible form with the intent to do so and without authorization,
The SEC’s administrative law judges are officers subject to the Appointments Clause.
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