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14 Mar 2024, 10:00 pm
In a Lexis Practical Guidance article, Morgan Lewis lawyers write about public companies preparing for the proxy season and the consideration to be given to their policies, procedures, and disclosures related to diversity, equity, and inclusion (DEI) and environmental, social, and governance (ESG) statements and commitments. [read post]
14 Mar 2024, 10:00 pm
In a Lexis Practical Guidance article, Morgan Lewis lawyers write about public companies preparing for the proxy season and the consideration to be given to their policies, procedures, and disclosures related to diversity, equity, and inclusion (DEI) and environmental, social, and governance (ESG) statements and commitments. [read post]
14 Mar 2024, 10:00 pm
In a Lexis Practical Guidance article, Morgan Lewis lawyers write about public companies preparing for the proxy season and the consideration to be given to their policies, procedures, and disclosures related to diversity, equity, and inclusion (DEI) and environmental, social, and governance (ESG) statements and commitments. [read post]
6 Mar 2024, 9:03 pm by renholding
I’d like to thank members of the SEC staff for their work on these final rules, including: Mellissa Duru, Luna Bloom, Elliot Staffin, Kristin Baldwin, Valian Afshar, Almaze Semere, Dennis Hermreck, Nolan McWilliams, Grace Baer, Lindsay McCord, Ethan Horowitz, Robert Errett, Deegi Biteng, Adam Turk, Ted Yu, Liz Walsh, Duc Dang, Brad Skinner, Mike Reedich, Kat Bagley, Cheryl Brown, Jeb Byrne, Nabeel Cheema, John Fieldsend, Jason Weidberg, Michael Coco, Angie Kim, Charli Gibbs-Tabler, and Chris… [read post]
6 Mar 2024, 3:30 am by Meredith Ervine
.; 3/24) finding the Corporate Transparency Act unconstitutional, FinCEN released this notice. [read post]
5 Mar 2024, 7:47 pm by Sabrina I. Pacifici
And for another side of his genius, you can now go to the site of New York’s Morgan Library and Museum, who have digitized “almost 500 images from the Morgan’s exceptional collection of Rembrandt etchings,” celebrating his “unsurpassed skill and inventiveness as a master storyteller. [read post]
1 Feb 2024, 1:25 pm by Silver Law Group
Riley Wealth Management   Richard Webb   Park Avenue Securities LLC   William Williford   Morgan Stanley FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
30 Jan 2024, 9:02 pm by renholding
I dissent from the Commission’s denial of a petition to amend Rule 202.5(e), our so-called gag rule.[1]  This de facto rule follows from the Commission’s enforcement of its policy, adopted in 1972, that it will not “permit a defendant or respondent to consent to a judgment or order that imposes a sanction while denying the allegations in the complaint or order for proceedings. [read post]
29 Jan 2024, 12:00 pm by The White Law Group
  The representative suggested short-term trades in corporate bonds and preferred securities on numerous occasions, causing over $900,000 in losses for 10 clients. [read post]
24 Jan 2024, 4:29 pm by luiza
  On September 29, Goldman Sachs, JP Morgan, and Bank of America agreed to pay a total of roughly $53 million to settle CFTC charges relating to a variety of swap dealer activities including failures related to swap data reporting. 10 — Exelon (SEC). [read post]
18 Jan 2024, 3:30 am by John Jenkins
A recent Morgan Lewis memo on white collar issues says that the DOJ is prioritizing corporate criminal enforcement for misconduct implicating national security issues. [read post]
10 Jan 2024, 6:32 am by Unknown
The year’s busiest lead underwriter of IPOs was EF Hutton with 20, followed by JP Morgan with 15. [read post]
6 Jan 2024, 6:00 am by Meghan Conroy
Carol Anderson (Charles Howard Candler Professor, African American Studies, Emory University)“The Role of White Rage and Voter Suppression in the Insurrection on January 6, 2021”Expert Statement *Sara Aniano (Graduate Student, Department of Communication, Monmouth University)“‘We Are at War’: QAnon Instagram Comments Before the Capitol Riots”Expert Statement  Anti Defamation League “Extremist Movements and the January 6, 2021 Insurrection”Expert… [read post]