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28 Nov 2018, 4:42 pm
The current SEC Chair, Jay Clayton, has said that he does not consider the issue to be a top priority, seemingly shelving the idea for the time being. [read post]
28 Nov 2018, 7:17 am
By Jay Fishman, J.D. [read post]
27 Nov 2018, 6:09 pm
As discussed below, SEC Chair Jay Clayton recently emphasized that the agency is “sharpening its focus” on Brexit-related disclosures, highlighting the significance of the disclosure-related concerns. [read post]
27 Nov 2018, 3:11 am
Read Jay’s blog about it… How Often Does the SEC Chair Have Meetings? [read post]
24 Oct 2018, 4:33 pm
Ironically, the hack into the EDGAR database, which was also the subject of testimony from SEC Chairman Jay Clayton before the Senate Banking Committee brought the SEC’s previously quiet but steadfast outsider trading foray into the spotlight. [read post]
19 Oct 2018, 6:08 am
Securities and Exchange Commission, on Saturday, October 13, 2018 Tags: AIG, Broker-dealers, Derivatives, Financial regulation, Market efficiency, SEC, SEC rulemaking, Swaps, Transparency Opening Statement at the SEC Open Meeting Posted by Jay Clayton, U.S. [read post]
18 Oct 2018, 7:57 am
The Commission unanimously decided to set aside certain data fees charged by NYSE Arca, Inc. and Nasdaq Stock Market LLC to market participants because the exchanges failed to demonstrate that the fees were fair, reasonable, and not unreasonably discriminatory, as required by the Exchange Act. [read post]
14 Oct 2018, 12:04 pm
The data breach-related securities lawsuits filed in just the last few days – including the new lawsuits against Alphabet — also included stock price declines. [read post]
12 Oct 2018, 8:05 am
However, he was not particularly troubled by the recent sell-off in the stock market because the SEC is not tasked with conducting monetary or fiscal policy. [read post]
12 Oct 2018, 3:00 am
Yesterday, SEC Chair Jay Clayton seemed to confirm that view for the near-term – except, perhaps, for a remote chance for smaller companies. [read post]
10 Oct 2018, 12:40 pm
John Reed Stark Earlier this week, media reports circulated that this past spring Google had exposed the private data of thousands of the Google+ social network users and then opted not to disclose the issue, in part because of concerns that doing so would draw regulatory scrutiny and cause reputational damage. [read post]
5 Oct 2018, 5:52 am
Newman, Patterson Belknap Webb & Tyler LLP, on Monday, October 1, 2018 Tags: Accounting, Cybersecurity, Risk management, SEC, Securities regulation Public Short Selling by Activist Hedge Funds Posted by Ian Appel (Boston College), Jordan Bulka (Boston College), Vyacheslav Fos (Boston College), on Monday, October 1, 2018 Tags: Disclosure, Firm performance, Hedge funds, Information environment, Long-Term… [read post]
27 Sep 2018, 6:00 am
There are plenty of people who have lost money in the stock markets. [read post]
26 Sep 2018, 2:39 pm
In a public statement at an SEC open meeting, Chairman Jay Clayton noted that NMS stock ATSs regularly compete with national securities exchanges for order flow of the same securities, yet there is a significant difference in the information that these platforms must share with the public. [read post]
26 Sep 2018, 2:39 pm
In a public statement at an SEC open meeting, Chairman Jay Clayton noted that NMS stock ATSs regularly compete with national securities exchanges for order flow of the same securities, yet there is a significant difference in the information that these platforms must share with the public. [read post]
21 Sep 2018, 6:10 am
Securities and Exchange Commission, on Saturday, September 15, 2018 Tags: Boards of Directors, Institutional Investors, Proxy advisors, Retail investors, SEC, Securities regulation, Shareholder voting Remarks to the SEC Investor Advisory Committee Posted by Jay Clayton, U.S. [read post]
7 Sep 2018, 6:00 am
(“Jay”) Lathen, Jr. [read post]
4 Sep 2018, 3:35 pm
Every year just after Labor Day, I take a step back and survey the most important current trends and developments in the world of Directors’ and Officers’ liability and D&O insurance. [read post]
24 Aug 2018, 6:06 am
Springer, Gibson, Dunn & Crutcher LLP, on Wednesday, August 22, 2018 Tags: Banks, Capital requirements, Charter & bylaws, Consumer protection, Dodd-Frank Act, Financial institutions, Financial regulation, Financial technology, OCC, Risk, Stress tests Statement on Investor Roundtables Regarding Standards of Conduct for Investment Professionals Rulemaking Posted by Jay Clayton, U.S. [read post]
19 Aug 2018, 2:50 pm
Discussion I come to this topic with a bias left over from the excesses of the Internet stock bubble in the dot com era. [read post]
