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24 Oct 2023, 9:01 pm by renholding
I’d like to start by returning to a theme that I’ve touched on before, and that is how public trust in our institutions is faltering.[1] No sector is immune from this trend. [read post]
27 Jun 2023, 9:01 pm by renholding
Congress has been very clear in the federal securities laws when it intends to preempt state law, such as in the National Securities Markets Improvement Act[44] or the Jumpstart Our Business Startups Act.[45] Indeed, such a broad claim of Commission authority might raise issues under the major questions doctrine discussed in West Virginia v. [read post]
24 Nov 2022, 9:00 pm
Hughes III, Milbank, on Tuesday, November 22, 2022 Tags: ALJs, Free Enterprise Fund v. [read post]
24 Nov 2022, 9:00 pm
Hughes III, Milbank, on Tuesday, November 22, 2022 Tags: ALJs, Free Enterprise Fund v. [read post]
25 Mar 2022, 5:48 am
Liu, Dechert LLP, on Friday, March 18, 2022 Tags: Class actions, Compliance and disclosure interpretation, Cryptocurrency, Foreign issuers, International governance, Securities fraud, Securities litigation Special Committee Report Posted by Gregory V. [read post]
24 Dec 2021, 6:26 am
., on Friday, December 17, 2021 Tags: Asset management, Board oversight, Boards of Directors, ESG, Institutional Investors, Risk management, Shareholder activism, Shareholder proposals, Shareholder voting Statement by Commissioner Peirce on Rule 10b5-1 and Insider Trading Posted by Hester M. [read post]
5 Mar 2021, 12:30 pm by John Ross
On this episode, plaintiffs from the landmark case of Monroe v. [read post]
24 Oct 2019, 2:40 pm by Kevin LaCroix
  The Telegram TRO   Dating back to as early as 2014, the SEC began bringing enforcement actions relating to cryptocurrency, and with its October 11, 2019 filing of SEC v. [read post]
12 Dec 2018, 7:43 am by John Elwood
Our next case is a sequel: Moore v. [read post]
5 Dec 2018, 8:54 am by John Elwood
The first of the four is White v. [read post]
11 Apr 2016, 3:47 am by Broc Romanek
The concerns cast a cloud over the ability of both SEC nominees—Lisa Fairfax, a Democrat, and Hester Peirce, a Republican—to win Senate confirmation, according to Senate aides. [read post]
11 Apr 2016, 3:47 am by Broc Romanek
The concerns cast a cloud over the ability of both SEC nominees—Lisa Fairfax, a Democrat, and Hester Peirce, a Republican—to win Senate confirmation, according to Senate aides. [read post]