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14 Dec 2020, 2:19 pm by David Sunkin and Taylor Parks
AB 979 follows in the footsteps of Senate Bill 826 (SB 826), a 2018 bill signed into law by Governor Jerry Brown, which requires that all publicly traded corporations listed on a major U.S. stock exchange headquartered in the state of California (per the corporation’s SEC 10-K filing) have a “representative number” of women as members of their board of directors. [read post]
21 Oct 2009, 8:07 pm by Jeff Rogyom
Today, most businesses operating as c-corporations are those that have no choice, such as a widely-held or publicly-traded company, and those with out of the ordinary tax situations. [read post]
10 Sep 2021, 9:15 am by John Jascob
By Amanda Maine, J.D.The SEC’s Investor Advisory Committee (IAC) approved a draft recommendation aimed at improving transparency behind Rule 10b5-1 trading plans for corporate insiders. [read post]
28 Mar 2017, 7:30 am by Daniel Shaviro
 The main reasons for this decline are the rise of (1) foreign ownership of U.S. shares - although this remains a bit low, relative to the scenario in which home equity bias had entirely disappeared, (2) the holding of corporate stock in tax-free savings accounts such as traditional and Roth IRAs and 401(k)s, along with 529s, and (3) stock ownership by nonprofits.Should we think of stock held in a traditional IRA or 401(k), in which contributions are deducted upfront… [read post]
23 May 2018, 7:29 am by Renae Lloyd
Business Development Corporation of America (BDCA) is a non-traded business development company that invests in first and second lien senior secured loans and mezzanine debt issued by middle market companies. [read post]
22 Oct 2023, 9:01 pm by renholding
The Circuit Split On October 2, 2014, the Ninth Circuit in In re NVIDIA Corporation Securities Litigation held that a violation of Item 303 of Regulation S-K was not actionable by private litigants under Section 10(b) of the Exchange Act.[8] NVIDIA is a publicly traded semiconductor manufacturer that, in the spring of 2008, disclosed two product defects leading to a $150-200 million charge to cover costs arising from the defects.[9] A class of investors later claimed that… [read post]
10 Feb 2012, 2:00 am by Stephanie Figueroa
Gupta: SEC Charges Director, Hedge Fund Manager in Insider Trading Scheme - This post discusses the SEC’s case against Rajat K. [read post]
9 Jul 2013, 4:17 pm by Gritsforbreakfast
For dividend-hungry shareholders this is a win-win situation and one of the reasons that shares of CCA are trading up since April 2012, when murmurs of a REIT conversion hit the market. [read post]
9 Apr 2020, 4:38 pm by Alexander Yarbrough
If a corporation is subject to the reporting requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934, a corporation’s board may effectuate the change to a virtual meeting by filing a publicly available document with the Securities and Exchange Commission, such as a current report on Form 8-K, and a press release that is posted on the company’s website. [read post]
9 Jun 2017, 8:20 am by Renae Lloyd
Business Development Corporation of America is a non-traded business development company that invests in both the debt and equity of private middle market companies. [read post]
30 May 2007, 5:15 am
"   The answer is on the DU Corporate Governance web site (or will be later today). [read post]
26 Apr 2018, 1:00 pm by Mike Mireles
 My research evaluates how corporate boards can ensure an appropriate level of transparency and make voluntary and mandatory ‘true and fair’ disclosures about a company’s corporate IP assets such as patents and trade secrets in traditional formats such as the accounts and the annual report. [read post]