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22 Jul 2019, 2:00 pm by Doug Cornelius
Title V creates a whole new disclosure regime for private funds. [read post]
12 Jul 2019, 6:17 am
., on Friday, July 5, 2019 Tags: Boards of Directors, Controlling shareholders, Dual-class stock, ESG, Institutional Investors, Lyft, Shareholder voting, Uber Director Independence and Oversight Obligation in Marchand v. [read post]
11 Jul 2019, 7:55 am by Alan S. Kaplinsky
In an interesting twist, the FHFA has informed the Fifth Circuit in Collins v. [read post]
9 Jun 2019, 8:18 am
Departing from the United States Supreme Court’s 2010 opinion in Morrison v. [read post]
24 May 2019, 9:49 am by Astarita
Somers stating that the Dodd-Frank anti-retaliation provisions only extend to those persons who provide information relating to a violation of the securities laws to the SEC. [read post]
10 May 2019, 6:17 am
., on Saturday, May 4, 2019 Tags: Boards of Directors, Climate change, Corporate Social Responsibility, ESG, Executive Compensation, Index funds, Pay for performance, Shareholder rights, Shareholder value, Shareholder voting, Sustainability Operating Principles for Impact Management Posted by Irina Likhachova, International Finance Corporation, on Sunday, May 5, 2019 Tags: Accountability, Asset management, Corporate… [read post]
19 Apr 2019, 6:12 am
Rouhandeh, and Michael Kaplan, Davis Polk & Wardwell LLP, on Saturday, April 13, 2019 Tags: Bonds, Corporate fraud, DOJ, International governance, Misconduct, Rule 144, SEC, SEC enforcement, Securities litigation, Securities regulation, Volkswagen 2019 Proposed Amendments to DGCL Posted by John Mark Zeberkiewicz and Brigitte Fresco, Richards, Layton & Finger, P.A., on Saturday, April 13, 2019 Tags: Appraisal… [read post]
18 Apr 2019, 8:04 pm by Adam Levitin
  Second, the Dodd-Frank Act makes clear that state laws are only preempted by the National Bank Act if the state law “prevents or significantly interferes” the exercise of the powers of the national bank. [read post]
12 Mar 2019, 1:20 pm by Arina Shulga
  So, while the conduct-and effects test brought back by the Dodd-Frank Act will be used in governmental actions, as stated here, private actions under the antifraud provisions will continue to be governed by the Morrison test. [read post]
11 Mar 2019, 5:00 am by John Jascob
Representative Davidson also cited a speech delivered by former SEC Chair Mary Jo White during the early months of her tenure in which she spoke about the SEC’s independence and its task of implementing the Dodd-Frank Act. [read post]
11 Feb 2019, 9:38 am by Stephen Honig
A couple of weeks ago, a three-judge panel of the United States Circuit Court (for the non-lawyers: the highest Federal courts except for the Supreme Court) decided the case of SEC v Scoville, which in effect held that the SEC has enforcement powers against alleged securities frauds which are primarily extra-territorial. [read post]
11 Feb 2019, 9:38 am by Stephen Honig
A couple of weeks ago, a three-judge panel of the United States Circuit Court (for the non-lawyers: the highest Federal courts except for the Supreme Court) decided the case of SEC v Scoville, which in effect held that the SEC has enforcement powers against alleged securities frauds which are primarily extra-territorial. [read post]
8 Feb 2019, 6:04 am
McIntosh, Wachtell, Lipton, Rosen & Katz, on Thursday, February 7, 2019 Tags: Accounting, Accounting standards, Board oversight, Boards of Directors, Compliance and disclosure interpretation, Financial reporting, GAAP, SEC, SEC enforcement, Securities enforcement, Securities regulation Amicus Brief of Law and Finance Professors in Verition Partners v. [read post]
1 Feb 2019, 7:19 am by John Jascob
Digital Realty Trust, the Supreme Court held 9-0 that the Dodd-Frank anti-retaliation provision applies only to whistleblowers who report their concerns to the SEC, not to those who only file internal reports.In Lucia v. [read post]