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30 Jan 2024, 9:02 pm
The upshot: so long as a defendant says what the SEC wants to hear (or says nothing at all), he does not violate the No-Admit-No-Deny Provision. [read post]
28 Jan 2024, 9:01 pm
Entering 2024, ongoing international instability, rapidly changing technology and the United States presidential campaign are certain to impact the corporate landscape. [read post]
26 Jan 2024, 4:00 am
” In reality, Rule 1.8.5(a) does state the general bar on such payments. [read post]
25 Jan 2024, 9:05 pm
Corporate law generally does not recognize the unitary executive theory, i.e., that of the all-powerful CEO to whom the board provides advice and counsel but does not supervise. [read post]
25 Jan 2024, 6:06 pm
Private REITs There is another type of REIT—a private REIT, or private-placement REIT—that also does not trade on an exchange, according to FINRA. [read post]
25 Jan 2024, 11:25 am
§ 1981) Jane Doe v. [read post]
25 Jan 2024, 1:52 am
According to the report, the number of filings increased more than 10% in 2023 compared to 2022. [read post]
24 Jan 2024, 9:01 pm
What the Commission does instead is arguably worse. [read post]
23 Jan 2024, 9:05 pm
ENDNOTE [1] See, e.g., the unrest of British workers of Tata regarding Tata’s plans to “green” blast furnaces, https://www.nytimes.com/2023/10/30/business/tata-port-talbot-steel-emissions.html (last accessed January 22, 2024). [read post]
23 Jan 2024, 5:40 am
Does fuel qualify as a necessary item in this case? [read post]
22 Jan 2024, 9:01 pm
During his tenure, the Commission adopted a very significant and impactful regulation — rule 146 under the Securities Act of 1933 (the “Securities Act”).[1] If rule 146 does not ring a bell, do not worry. [read post]
21 Jan 2024, 9:05 pm
The SEC has frequently used Section 17(a) of the Securities Act of 1933, a provision that applies not only to the “sale” of securities but also more broadly to “offers” to sell securities.[6] While termination of a Rule 10b5-1 plan does not constitute fraudulent conduct within the meaning of Rule 10b-5 because it does not involve an actual purchase or sale of a security, the same issue does not exist with respect to Section 17(a)… [read post]
19 Jan 2024, 10:34 am
In the meantime, here is our listing of the top FCPA recoveries for 2022. 1 — Albemarle ($218M). [read post]
19 Jan 2024, 7:09 am
One case yielded a $90 million settlement. The other is in litigation, with over $1 billion in damages alleged by the government. [read post]
A Con Law Exam Featuring A Barter Ban, Discrimination Against an AroAce Couple, and Campaign Finance
17 Jan 2024, 4:00 am
Section 3: Each violation of Section 1 of this Act shall be punishable by up to one year in prison and/or a fine or tax of up to $100 for each $10 of value in currency conversions. [read post]
16 Jan 2024, 1:19 pm
During the close-to-close trading sessions affected by a short report, defendant issuers’ stock price declined by 16.8%, on average, and incurred additional declines of 16.0% during the 90-day look-back period of Section 21D(e)(1) of the Private Securities and Litigation Reform Act.[3][4] Third, Rule 10b-5 private securities fraud lawsuits based primarily on activist short-seller research may not be indicative of actual fraud-on-the-market since the work product does not… [read post]
16 Jan 2024, 11:33 am
We end the Article by analyzing the meaning of “predecessor in interest” for purposes of Rule 804(b)(1), and also whether exculpatory grand jury testimony is admissible against the government under that same rule. [read post]
16 Jan 2024, 2:22 am
Further, DABUS is not even a legal person (such as a corporation) and therefore cannot transfer rights. [read post]
12 Jan 2024, 7:31 am
In Macomber, the Court held that Congress could not tax a shareholder upon the receipt of a corporate stock dividend because it did not represent a change in the shareholder’s economic interest in the corporation. [read post]
11 Jan 2024, 2:58 pm
”[1] And today, a small group of some of the world’s most powerful corporations exercise complete control over that public square. [read post]
