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26 Feb 2024, 12:30 pm
SPAC sponsors, who are watching the unfavorable developments in Delaware courts and unwilling to shell out extra funds for the new 1% excise tax, are clearly reconsidering their place of incorporation. [read post]
19 Feb 2024, 9:01 pm
Artificial intelligence (AI)[1] was the biggest technology news of 2023. [read post]
16 Feb 2024, 6:39 am
How SEC Whistleblower Awards Are Determined The general rule for the award amount is 10% to 30% of all monetary fines collected from the entities in question based on a judgment in excess of $1 million. [read post]
15 Feb 2024, 9:08 pm
The relief has been in place in some form since 1 July 2013. [read post]
15 Feb 2024, 9:05 pm
Investor redemption rights. [read post]
15 Feb 2024, 9:01 pm
” What does that mean for securities law, particularly the laws related to fraud and manipulation? [read post]
14 Feb 2024, 9:05 pm
ENDNOTES [1] For a timely summary, see Jill E. [read post]
9 Feb 2024, 3:00 am
Katie Hobbs does not have to publicly detail the money flowing to and from her main campaign bank account until January 2026, when she would face reelection. [read post]
7 Feb 2024, 5:34 am
If a whistleblower’s tip results in monetary sanctions exceeding $1 million, the whistleblower may receive an award between 10% and 30% of the total monetary sanctions collected. [read post]
5 Feb 2024, 5:21 pm
But lawyers are already speculating that the award may exceed $1 billion. [read post]
31 Jan 2024, 9:01 pm
Court of Appeals for the Ninth Circuit, contrary to the Second Circuit, has held that “Item 303 does not create a duty to disclose for purposes of Section 10(b) and Rule 10b-5. [read post]
31 Jan 2024, 7:04 am
Russell was also charged with misappropriating at least $1 million in investor assets. [read post]
30 Jan 2024, 9:02 pm
The upshot: so long as a defendant says what the SEC wants to hear (or says nothing at all), he does not violate the No-Admit-No-Deny Provision. [read post]
29 Jan 2024, 4:55 am
“The lives of people in Gaza depend on this support and so does regional stability. [read post]
29 Jan 2024, 4:32 am
It also serves as a reminder to issuers of their regulatory obligation under Article 8d (1) of the UK CRA Regulation to consider appointing at least one CRA with no more than 10% of total market share when they intend to appoint at least 2 CRAs for the credit rating of the same issuance or entity. [read post]
26 Jan 2024, 4:00 am
” In reality, Rule 1.8.5(a) does state the general bar on such payments. [read post]
25 Jan 2024, 9:05 pm
Corporate law generally does not recognize the unitary executive theory, i.e., that of the all-powerful CEO to whom the board provides advice and counsel but does not supervise. [read post]
25 Jan 2024, 6:06 pm
Private REITs There is another type of REIT—a private REIT, or private-placement REIT—that also does not trade on an exchange, according to FINRA. [read post]
24 Jan 2024, 9:01 pm
What the Commission does instead is arguably worse. [read post]
23 Jan 2024, 9:05 pm
ENDNOTE [1] See, e.g., the unrest of British workers of Tata regarding Tata’s plans to “green” blast furnaces, https://www.nytimes.com/2023/10/30/business/tata-port-talbot-steel-emissions.html (last accessed January 22, 2024). [read post]
