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24 Oct 2018, 4:33 pm
The rationale for policing unlawful insider trading is that for the markets to work efficiently and fairly, everyone needs to be working with the same basic information, or at least, that those with special access to nonpublic information are prevented from taking advantage of it before other investors. [read post]
16 Oct 2018, 7:00 pm
George III: "The king is himself again. [read post]
10 Oct 2018, 12:40 pm
What precisely renders an event material has plagued securities lawyers for years and has been the subject of countless judicial decisions, SEC enforcement actions, law review articles, law firm guidance and the like – but can be effectively summed up as any important development or event that “a reasonable investor would consider important to an investment decision. [read post]
30 Sep 2018, 5:16 pm
But was this really a scheme by Musk to defraud investors? [read post]
31 Aug 2018, 6:09 am
High-Quality Sales Processes and Appraisal Proceedings Posted by Jason Halper, Ellen Holloman, and Joshua Apfelroth, Cadwalader, Wickersham & Taft LLP, on Friday, August 24, 2018 Tags: Appraisal rights, Boards of Directors, Delaware cases, Delaware law, Fairness review, Go-shop, In re Appraisal of Dell, In re Appraisal of DFC Global, Market efficiency, Merger litigation, Mergers & acquisitions, Reliance Awakening… [read post]
20 Aug 2018, 12:13 pm
Lemley & Eugene Volokh, Freedom of Speech and Injunctions in Intellectual Property Cases, 48 Duke L.J. 147, 171 (1998)). [read post]
10 Aug 2018, 6:11 am
Posted by Sean Barry, Equilar, Inc., on Thursday, August 9, 2018 Tags: Board dynamics, Board oversight, Board performance, Boards of Directors, Director qualifications, Management, Overboarding, Tech companies Cash America and the Structure of Bondholder Remedies Posted by Marcel Kahan (NYU) and Mitu Gulati (Duke University), on Thursday, August 9, 2018 Tags: Bondholders, Bonds, Covenants, Debt… [read post]
9 Aug 2018, 6:27 am
The court ruled in favor of the investors on the question of the breach. [read post]
3 Aug 2018, 6:10 am
Securities and Exchange Commission, on Tuesday, July 31, 2018 Tags: Broker-dealers, Conflicts of interest, Duty of care, Duty of loyalty, Fiduciary duties, FINRA, Form ADV, Form CRS, Governance standards, Investment advisers, Investor protection, Retail investors, SEC, Securities regulation Statement Announcing SEC Staff Roundtable on the Proxy Process Posted by Jay Clayton, U.S. [read post]
13 Jul 2018, 6:19 am
Huennekens, and Jamie Smith, EY Center for Board Matters, on Tuesday, July 10, 2018 Tags: Audit committee, Banks, Boards of Directors, Compensation committees, Cybersecurity, Financial institutions, Management, Nominating committees, Oversight, Risk oversight Mutual Fund Transparency and Corporate Myopia Posted by Vikas Agarwal (Georgia State University), Rahul Vashishtha (Duke University), and Mohan Venkatachalam… [read post]
11 Jul 2018, 6:12 am
Posted by Vikas Agarwal (Georgia State University), Rahul Vashishtha (Duke University), and Mohan Venkatachalam (Duke University), on Wednesday, July 11, 2018 Editor's Note: Vikas Agarwal is H. [read post]
10 Jul 2018, 5:00 am
Why do investors believe Delaware will do better than Texas in curbing patent troll litigation? [read post]
6 Jul 2018, 6:02 am
Zachery Morris, Fried, Frank, Harris, Shriver & Jacobson LLP, on Tuesday, July 3, 2018 Tags: SEC, SEC enforcement, Securities enforcement, Securities litigation, Securities regulation, Supreme Court, U.S. federal courts Enterprise Liability and the Organization of Production Across Countries Posted by Sharon Belenzon (Duke University), Honggi Lee (Duke University), and Andrea Patacconi (University of East Anglia), on Tuesday,… [read post]
11 Jun 2018, 2:44 am
Concurrently, the legal and regulatory world is being upended by technological advances from cryptocurrencies and blockchain to peer-to-peer lending and enhanced mobile financing, capturing the attention of Wall Street investors and industry regulators alike. [read post]
3 Jun 2018, 2:18 pm
As the letters explain, the Initiative seeks to increase transparency and accountability as it relates to the platforms retail investors rely on to trade virtual currency, and better inform enforcement agencies, investors, and consumers. [read post]
31 May 2018, 11:46 am
Duke ruled that DHS would have to continue to accept IER applications. [read post]
24 May 2018, 7:35 am
Nonetheless, an IJR investor mentioned SpongeBob “out of the blue” while discussing the restaurant. [read post]
16 Apr 2018, 4:48 pm
The DAO 21(a) Report With respect to ICOs, the critical area of inquiry for the SEC is whether investors were relying on the managerial efforts of others. [read post]
4 Apr 2018, 4:21 pm
” One of the Journal articles quotes Duke Law School Professor James Cox as saying “We’re going to look back on Reg. [read post]
2 Apr 2018, 4:03 pm
David Fontaine John Reed Stark As I noted in a post at the time, on February 21, 2018, the SEC released its cybersecurity disclosure guidance for publicly traded companies. [read post]
