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Showing 1–10 of 10 articles for “securities regulation code”

Untrue Statements Under the Securities Regulation Code: What Counts as Fraud

The Supreme Court clarifies when a projected completion date in a registration statement is an untrue statement under the Securities Regulation Code.

Untrue Statements in Securities Registration: The Caliraya Springs Ruling

The Supreme Court clarifies when a projected completion date in a securities registration statement becomes an actionable untrue statement under the Securities Regulation Code.

SEC Fraud Liability: When Projected Completion Dates Are Not Untrue Statements

Supreme Court clarifies that forward-looking statements in SEC registration filings are not automatically fraudulent misrepresentations under the Securities Regulation Code.

SEC Investigations and Due Process: What the Supreme Court Said in Tengco

The Supreme Court clarifies that SEC investigation lapses do not strip courts of jurisdiction over Securities Regulation Code violations.

One Specific Offense Rule: Search Warrants and the Limits of General Warrants

The Supreme Court nullified a search warrant covering both the Securities Regulation Code and estafa, affirming the one-specific-offense rule.

Investment Scams and the Legal Definition of a Salesman Under the Securities Regulation Code

Supreme Court ruling on when an investment consultant becomes a

When Can RTCs Directly Hear Securities Violations? The Pua v. Citibank Rule

The Supreme Court clarifies that civil suits under the Securities Regulation Code belong to RTCs, not the SEC.

Prescription Periods in Securities Law: Balancing Investor Protection and Legal Certainty

The Supreme Court clarifies prescription periods for criminal and administrative liability under the Securities Regulation Code in Citibank v. Tanco-Gabaldon.

Proxy Validation vs Solicitation: SEC and RTC Jurisdiction in Corporate Elections

The Supreme Court clarifies when proxy disputes in corporate elections belong to the RTC, not the SEC, under the Securities Regulation Code.

SEC Retains Power to Execute Decisions in Pending Intra-Corporate Cases

Supreme Court rules the SEC may enforce its final decisions in intra-corporate cases retained under Section 5.2 of the Securities Regulation Code.