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Are Cryptoexchanges the Exchange Act’s Trojan Horse?
5 Mar 2024, 9:05 pm by renholding
J., Jan. 18, 2023 (accusing the SEC and FINRA of being “more interested in protecting their turf than protecting investors”); David Gura, Wringing its hands over FTX’s collapse, Washington hopes to prevent more crypto pain, NPR, November 22, 2022. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Skadden Discusses SEC Focus Amid Lack of Final AI Rules
29 Feb 2024, 9:01 pm by renholding
Last year, the U.S. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
SEC Commissioner Dissents from Denial of Petition to Change No-Admit, No-Deny Policy
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]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
SEC Begrudgingly Approves Bitcoin ETP
11 Jan 2024, 7:19 am by Doug Cornelius
Social Media Hack That Sent Bitcoin Soaring Prompts Investigation Omnibus Approval Order, Securities Exchange Act Release No. 34-99306 (Jan. 10, 2024) Gensler Statement Peirce Statement [read post]
Compliance Building - http://www.compliancebuilding.com
Just Published: (Anne Wagner and Sarah Marusek (eds)) Research Handbook on Legal Semiotics (Edward Elgar, 2023)
29 Nov 2023, 7:55 am
’ -- Jan M. [read post]
Law at the End of the Day - https://lcbackerblog.blogspot.com/
SEC Enforcement Chief Speaks on Corporate Compliance
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]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
An encounter with Jan M. Broekman, "Knowledge in Change: The Semiotics of Cognition and Conversation" (Springer Nature, 2023): Part 10 --Chapter 9 ("Conversions Convert Us All")
8 Oct 2023, 7:28 pm
    To my great delight, I was asked to review Jan Broekman's brilliant new work, Knowledge in Change: The Semiotics of Cognition and Conversation (Springer Nature, 2023). [read post]
Law at the End of the Day - https://lcbackerblog.blogspot.com/
An encounter with Jan M. Broekman, "Knowledge in Change: The Semiotics of Cognition and Conversation" (Springer Nature, 2023): Part 7 -- Chapter 6 ("The Non-Naïve-Natural")
27 Aug 2023, 7:19 am
   To my great delight, I was asked to review Jan Broekman's brilliant new work, Knowledge in Change: The Semiotics of Cognition and Conversation (Springer Nature, 2023). [read post]
Law at the End of the Day - https://lcbackerblog.blogspot.com/
An encounter with Jan M. Broekman, "Knowledge in Change: The Semiotics of Cognition and Conversation" (Springer Nature, 2023): Part 5 -- Chapter 4 "Flow and Fistness"
12 Aug 2023, 1:47 pm
   To my great delight, I was asked to review Jan Broekman's brilliant new work, Knowledge in Change: The Semiotics of Cognition and Conversation (Springer Nature, 2023). [read post]
Law at the End of the Day - https://lcbackerblog.blogspot.com/
An encounter with Jan M. Broekman, "Knowledge in Change: The Semiotics of Cognition and Conversation" (Springer Nature, 2023): Part 3 -- Chapter 2 "Fluidity and Flow
2 Aug 2023, 6:57 pm
  To my great delight, I was asked to review Jan Broekman's brilliant new work, Knowledge in Change: The Semiotics of Cognition and Conversation (Springer Nature, 2023). [read post]
Law at the End of the Day - https://lcbackerblog.blogspot.com/
SEC Commissioner Speaks on Shareholder Proposals, Proxy Statements, and Rule 14a-8
27 Jun 2023, 9:01 pm by renholding
Thank you, Christina [Maguire], for that introduction and congratulations on becoming President and CEO of the Society [for Corporate Governance] (the “Society”) this past January. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
SEC Commissioner Dissents from New Rule on Private Fund Data Collection
3 May 2023, 9:03 pm by renholding
Peirce, Commissioner, SEC, Statement on Proposed Amendments to Form PF to Require Current Reporting and Amend Reporting Requirements for Large Private Equity Advisers and Large Liquidity Fund Advisers (Jan. 26, 2022), https://www.sec.gov/news/statement/peirce-form-pf-20220122#_ftnref1 (citing Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF, Advisers Act Release No. 3308 (Oct. 31, 2011), [76 FR… [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
SEC Commissioners Dissent to Charges Against McDonald’s for Flawed Disclosure of CEO Firing
11 Jan 2023, 9:01 pm by renholding
Peirce and Mark T. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Remarks by Commissioner Uyeda at the Georgetown Law Hotel and Lodging Summit
28 Oct 2022, 6:32 am
Posted by Mark T. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Discussion Draft Posted: "Describe, Predict, Intervene!—On Objective Subjectivities and the Simulacra of Semiotics in the New Era; Simulated Signification and of Mechanical Meaning Making in Managing Post-COVID Human Society"
8 Aug 2022, 6:21 pm
  International Roundtables for the Semiotics of Law --IRSL 2021 The Rearguard of Subjectivity In Honor of Jan M. [read post]
Law at the End of the Day - https://lcbackerblog.blogspot.com/
SEC Commissioner Peirce Criticizes Regulatory Flexibility Agenda
23 Jun 2022, 9:01 pm by Hester M. Peirce
Chair Gensler’s Regulatory Flexibility Agenda[1] for the Securities and Exchange Commission sets forth flawed goals and a flawed method for achieving them. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
SEC Proposed Amendments Could Significantly Impact DeFi Companies
17 Feb 2022, 2:51 pm by Sarah Aberg and Pouneh Almasi
  Given the heft of the rule (over 650 pages) and critiques by some commentators, including SEC Commissioner Peirce, faulting the SEC for setting an unreasonable deadline to respond to over 220 unique comment requests, this period may be extended further. [read post]
Corporate Securities Law Blog - http://www.corporatesecuritieslawblog.com/
Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW
22 Jan 2021, 10:53 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5663/securities-industry-commentator/Statement of Acting Chair Lee and Commissioners Peirce, Roisman, and Crenshaw Regarding Recent Market Volatility (SEC Release / Jan. 29, 2021)Former Merrill Lynch / BOA Employee Wins Dramatic FINRA Expungement (BrokeAndBroker.com Blog)M1 Finance and Wealthfront trade charges again, but both firms… [read post]
Broke and Broker - http://brokeandbroker.com/index.php
Discussion Draft Just Posted: 'Lawyers are not algorithms: Sustainability, corruption, and the role of the lawyer in institutional frameworks and corporate transactions'
14 Jun 2020, 1:44 pm
Pix credit HEREEthics has always been a term that is easy to pronounce, easier to segregate and narrow, and nearly impossible to produce easy answers. [read post]
Law at the End of the Day - http://lcbackerblog.blogspot.com/
Legal Remedies for Suspect Medical Science in Products Cases – Part Five
8 Jun 2020, 10:13 am by Schachtman
Claims under Federal and State Racketeering Acts And Other Civil Remedies There are three types approaches to civil remedies a defendant might pursue to inhibit the flow of false claims in products cases. [read post]
Tortini - http://schachtmanlaw.com/blog/