Search for: "Anne Sherry"
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31 May 2017, 7:27 am
By Anne Sherry, J.D.PetSmart shareholders who opposed the 2015 going-private merger lost their fight for a 55-percent bump in consideration. [read post]
8 Jun 2021, 7:10 am
By Anne Sherry, J.D.At yesterday's CFO Network Summit, SEC Chair Gary Gensler announced that the staff will be preparing recommendations on shoring up Rule 10b5-1 for trading plans by insiders. [read post]
4 Aug 2023, 11:04 am
By Anne Sherry, J.D.A petition for certiorari questions whether, absent fraud or deception, statements criticizing a public company are sheltered by the First Amendment. [read post]
2 Aug 2022, 7:14 am
By Anne Sherry, J.D.An amendment to a company’s articles designed to prolong the CEO’s control under a dual-class share structure passed muster with the Delaware Court of Chancery. [read post]
23 Feb 2018, 8:16 am
By Anne Sherry, J.D. [read post]
12 Sep 2023, 6:31 am
By Anne Sherry, J.D.A failure to disclose information under Item 303 can serve as the basis for liability under Section 10(b) and Rule 10b-5 if the omission is material and the other necessary fraud elements are satisfied, the district court in Chicago held. [read post]
15 Sep 2020, 7:03 am
By Anne Sherry, J.D.Investment fund analysts who were convicted of wire fraud for trading on regulatory information are appealing that conviction to the Supreme Court. [read post]
21 Nov 2017, 7:09 am
By Anne Sherry, J.D.What effect did the Securities Litigation Uniform Standards Act have on state-court jurisdiction? [read post]
17 Jun 2022, 6:57 am
By Anne Sherry, J.D.The SEC is exploring whether certain “information providers” meet the definition of an investment adviser and thus are subject to the registration requirements and other regulations of the ’40 Acts. [read post]
31 Aug 2022, 7:22 am
By Anne Sherry, J.D.NASAA is asking the SEC to reject two proposed FINRA rule changes involving how firms carry out their supervisory responsibilities. [read post]
9 Sep 2022, 10:06 am
By Anne Sherry, J.D.The SEC adequately—and timely—alleged that six individuals participated in a scheme to evade the registration and beneficial owner reporting requirements of the securities laws. [read post]
3 Jan 2018, 7:13 am
By Anne Sherry, J.D.Two SEC staff reports on credit rating agencies find that the 10 registered NRSROs show improved compliance, increased resources devoted to information technology, and continued competition between the seven smaller firms and the three larger ones (Fitch, Moody’s, and S&P). [read post]
25 Sep 2020, 7:19 am
By Anne Sherry, J.D.In remarks at a Council of Institutional Investors conference, SEC Commissioner Allison Herren Lee emphasized the need for greater diversity within companies and even the financial regulators. [read post]
7 Mar 2023, 7:32 am
By Anne Sherry, J.D.When McDonald’s head of human resources—the person specifically charged with promoting a culture of inclusion and respect—repeatedly engaged in sexual harassment, it threw up “the most vibrant of red flags,” the Delaware Court of Chancery observed. [read post]
2 Apr 2020, 4:25 pm
By Anne Sherry, J.D. [read post]
26 Aug 2021, 11:30 am
By Anne Sherry, J.D.In a townhall webinar, representatives from the SEC, Tennessee agencies, and the Better Business Bureau discussed the need to promote financial education and offered some warning signs of fraudulent investments, including in the realm of digital assets. [read post]
2 Sep 2021, 9:29 am
By Anne Sherry, J.D.The Delaware Court of Chancery allowed some aspects of a merger challenge to proceed against Zayo Group Holdings CEO Dan Caruso. [read post]
12 Jul 2021, 7:32 am
By Anne Sherry, J.D.The Delaware Court of Chancery dismissed, with prejudice, a would-be derivative complaint brought on behalf of FedEx against its board of directors. [read post]
27 Jul 2021, 8:53 am
By Anne Sherry, J.D.In a pair of risk alerts, the SEC’s Division of Examinations cautioned investment advisers about compliance issues that it observed in connection with fixed-income principal and cross trades and wrap-fee programs. [read post]
26 Sep 2022, 6:26 am
By Anne Sherry, J.D.A whistleblower who alerted the SEC to misconduct at Citigroup must share a $27 million award with a colleague. [read post]
