Search for: "U.S SECURITIES AND EXCHANGE COMMISSION v. SECURE CAPITAL FUNDING CORPORATION et al"
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18 Apr 2024, 9:01 pm
Put another way: any time you have individuals or corporations trying to capitalize and profit on FOMO, or the “fear of missing out,” around a new technology or offering, it should raise red flags for regulators and compliance professionals alike. [read post]
13 Feb 2024, 9:05 pm
The U.S. [read post]
24 Oct 2023, 9:01 pm
It undermines the investor confidence needed for the fair, efficient, and orderly operation of our markets and for capital formation. [read post]
3 Oct 2023, 9:01 pm
Ulrich Kranz et al. [read post]
9 May 2023, 9:01 pm
A low-cost alternative, if it materializes, may tempt smaller activists—perhaps including better-funded versions of the “issues” activists now plastering corporate boardrooms with various 14a-8 stockholder proposals—to nominate one or two directors to press their concerns in the boardroom.[1] However, Rule 14a-19 does not address the longstanding question of just what information the nominating stockholder should disclose to voting stockholders. [read post]
22 Feb 2023, 1:07 pm
International Trade Commission has required elevated forms of self-disclosure about corporate status for years, with on of the five sitting Administrative Patent Judges (APJs), Cameron Elliot, recently ordering litigation finance discovery in three investigations—perhaps with more on the way, as NPEs and funds have sought to use the ITC more frequently recently to exert leverage in litigation. [25] These disclosure orders and laws come in response to the growing… [read post]
1 Feb 2023, 9:01 pm
The passage of the Securities Act and the Exchange Act, and the authority that Congress gave to the Commission, reflected an intentional and marked departure from that dark default. [read post]
28 Jan 2023, 7:32 am
Meanwhile, the Securities and Exchange Commission unveiled a slew of guidance and rule proposals to improve disclosures and add clarity to ESG investing, including the agency’s controversial proposal for climate risk disclosure. [read post]
25 Oct 2022, 10:46 am
Securities and Exchange Commission v. [read post]
24 Aug 2022, 9:01 pm
Leading this charge is the Securities and Exchange Commission (“SEC”). [read post]
18 Jul 2022, 2:46 pm
The ClientEarth action is an innovative use of litigation to encourage better corporate governance by holding a company’s directors personally liable for failing to properly prepare for the net zero transition. [read post]
25 May 2022, 9:01 pm
In this article, we begin with the Securities and Exchange Commission (“SEC”) regulations that mandate risk disclosures, and the federal statutes that create civil liability for misleading statements. [read post]
15 Feb 2022, 2:05 pm
For example, in Camelot Event Driven Fund v. [read post]
11 Nov 2021, 2:07 pm
Record-Setting Equity Markets and Low Litigation Rates During 3Q of 2021 and 4Q’s kick-off, liquidity permeates the capital markets leading public corporations trading in the U.S. markets to reach $50 trillion in aggregate market capitalization.[12] This is about $20 trillion more than one year ago (~67% increase in market cap during a global pandemic…) and the Federal Reserve is reluctant to restrict the money supply by keeping the… [read post]
16 Feb 2021, 2:23 pm
Pension Fund, 575 U.S. 175 (2015). [read post]
31 Aug 2020, 3:00 pm
-listed corporation’s market capitalization regardless of whether their published information is factually correct. [read post]
13 Apr 2020, 4:19 pm
Securities and Exchange Commission. [read post]
16 Mar 2020, 1:54 pm
This decision opens a window for potential liability for misstatements beyond the Supreme Court’s prior decision in Janus Capital Group, Inc. v. [read post]
24 Jan 2020, 1:00 am
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
24 Jan 2019, 2:36 pm
Securities and Exchange Commission (SEC). [read post]
