Search for: "In The Matter Of: J.D.A"
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9 May 2024, 6:57 am
The remaining Q&As deal with disclosure matters and the time frame for applying the guidance to financial statements.Read the rest of the story and other securities news from Wolters Kluwer at VitalLaw.com. [read post]
23 Apr 2024, 6:48 am
By Anne Sherry, J.D.A pair of provisions inspired by Enron’s document destruction have applicability beyond the securities context. [read post]
20 Feb 2024, 6:24 am
By Anne Sherry, J.D.A New Hampshire Senate committee voted last week to recommend against an anti-ESG bill. [read post]
19 Dec 2023, 6:12 am
As of June 2023, the Third Circuit, having heard from the SEC that agency staff would submit a recommendation to the Commission within a 120 day period, held off issuing the writ of mandamus, but the court did retain jurisdiction over the matter. [read post]
7 Nov 2023, 9:54 am
By Lene Powell, J.D.A new BlackRock report discovered significant financial benefits for companies with robust gender diversity. [read post]
4 Aug 2023, 11:04 am
By Anne Sherry, J.D.A petition for certiorari questions whether, absent fraud or deception, statements criticizing a public company are sheltered by the First Amendment. [read post]
16 May 2023, 8:21 am
Nelson, J.D.A group of 17 state attorneys general filed a motion to intervene in a proceeding before the Federal Energy Regulatory Commission (FERC) involving BlackRock, Inc. [read post]
10 Apr 2023, 8:56 am
Said the rulemaking petition: “As a practical matter, a period that short would significantly constrain the number of investors with standing under Section 11. [read post]
7 Apr 2023, 7:02 am
Nelson, J.D.A whistleblower award claimant has asked the Supreme Court to review a Second Circuit decision that upheld the SEC’s denial of a whistleblower award to the petitioner. [read post]
1 Mar 2023, 5:07 am
By Lene Powell, J.D.A small crypto-focused law firm is fighting to keep its lawsuit alive demanding that the SEC take a public stand on the Ethereum crypto network and Ether token. [read post]
17 Oct 2022, 7:09 am
By Anne Sherry, J.D.A Singapore-based company and its CEO are asking the U.S. [read post]
15 Jun 2022, 5:08 am
Plus, as a procedural matter, the "truth-on-the-market" defense is generally inappropriate for dismissal on the pleadings because of its fact-specific nature.Falsity alleged. [read post]
25 Apr 2022, 6:18 am
Tonkovic, J.D.A district court approved a nearly $2 million civil penalty against a former accountant at Domino's pizza charged with insider trading. [read post]
18 Mar 2022, 7:45 am
By Anne Sherry, J.D.A group of eight U.S. [read post]
15 Mar 2022, 10:35 am
By Lene Powell, J.D.A new analysis of FINRA disciplinary actions by Eversheds Sutherland shows a 60 percent increase in overall fines by FINRA in 2021, largely driven by a record-setting $57 million fine for Robinhood Financial. [read post]
22 Nov 2021, 6:50 am
By Lene Powell, J.D.A new report by Institutional Shareholder Services (ISS) finds an accelerating upward trend in the number of U.S. companies using environmental and social (E&S) metrics in executive compensation programs. [read post]
19 Oct 2021, 6:54 am
Tonkovic, J.D.A petition for certiorari asks the Supreme Court to address whether the Ninth Circuit erred in adopting a narrow interpretation of the SLUSA's "in connection with" prong. [read post]
12 Oct 2021, 3:12 pm
Too, as a matter of law, a GVR is not precedential. [read post]
28 Sep 2021, 6:01 am
Nelson, J.D.A Second Circuit panel unanimously affirmed a district court opinion dismissing claims by former Xerox Corporation CFO Barry Romeril that the consent agreement he entered into with the SEC more than decade ago was void under the Federal Rules of Civil Procedure because language in the agreement barred Romeril from publicly denying the allegations contained in the agency’s complaint. [read post]
11 May 2021, 10:43 am
"Our profession has a long way to go in matters of diversity, equity and inclusion," said IAA President & CEO Karen Barr. [read post]
