Search for: "Allison v. Lee"
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8 Jul 2022, 4:00 am
The majority in Dobbs v. [read post]
8 Apr 2022, 8:54 am
Salazar Allison Anna Tait, Richmond School of Law, Teaching About the Role of Succession Law in Perpetuating the Wealth Gap Deborah S. [read post]
25 Mar 2022, 5:48 am
Liu, Dechert LLP, on Friday, March 18, 2022 Tags: Class actions, Compliance and disclosure interpretation, Cryptocurrency, Foreign issuers, International governance, Securities fraud, Securities litigation Special Committee Report Posted by Gregory V. [read post]
10 Jan 2022, 7:00 am
Supreme Court held in Whole Woman’s Health v. [read post]
15 Oct 2021, 6:18 am
Securities and Exchange Commission, on Wednesday, October 13, 2021 Tags: Capital formation, COVID-19, SEC, Securities regulation Going Dark: Speech by Commissioner Lee on The Growth of Private Markets and the Impact on Investors and the Economy Posted by Allison Herren Lee, U.S. [read post]
8 Oct 2021, 6:02 am
Posted by Brian V. [read post]
13 Aug 2021, 5:51 am
Securities and Exchange Commission, on Saturday, August 7, 2021 Tags: Boards of Directors, Disclosure, Diversity, ESG, Listing standards, NASDAQ, SEC, SEC rulemaking, Securities regulation Statement by Commissioners Lee and Crenshaw on Nasdaq’s Diversity Proposals Posted by Allison Herren Lee and Caroline Crenshaw, U.S. [read post]
12 Aug 2021, 8:24 am
& Lee L. [read post]
16 Jul 2021, 6:19 am
Chair Gensler, then-Acting SEC Chair Allison Herren Lee and senior members of the SEC staff [1] have made a number of statements this year about environmental, social and governance (ESG) issues. [read post]
2 Jul 2021, 5:59 am
Carlin, and Sabastian V. [read post]
21 Apr 2021, 4:39 pm
[v] Speech, Acting Chair Allison Herren Lee, “A Climate for Change: Meeting Investor Demand for Climate and ESG Information at the SEC,” March 15, 2021, accessed at https://www.sec.gov/news/speech/lee-climate-change [vi] Brandford, Hazel, “Nominee Gensler backs SEC climate risk disclosure,” Pension & Investments, March 2, 2021, accessed at https://www.pionline.com/esg/nominee-gensler-backs-sec-climate-risk-disclosure [read post]
31 Mar 2021, 3:02 am
Only a couple of weeks ago, Acting SEC Chair Allison Herren Lee gave a speech and issued a corresponding request for public comment on 15 aspects of climate change disclosure. [read post]
19 Mar 2021, 6:08 am
Yust (Texas A&M University), on Thursday, March 18, 2021 Tags: Accounting, Corporate fraud, Misconduct, Oversight, SEC enforcement, Securities enforcement, Securities fraud Speech by Acting Chair Lee on the Importance of Fund Voting and Disclosure Posted by Allison Herren Lee, U.S. [read post]
2 Mar 2021, 6:04 am
Silk, Sabastian V. [read post]
26 Feb 2021, 3:00 am
Pat Toomey (R-PA) & other Republican members of the Senate Banking Committee sent a letter to Acting SEC Chair Allison Herren Lee urging the SEC to reject Nasdaq’s board diversity listing proposal. [read post]
12 Feb 2021, 11:24 am
OFS Securities, Inc. and Oriental Financial Services Corp., Respondents (FINRA Arbitration Award)FINRA Fines and Suspends CCO / AMLCO For Structuring (BrokeAndBroker.com Blog)Statement of Acting Chair Allison Herren Lee on Contingent Settlement Offers (SEC Release)Statement of Commissioners Hester M. [read post]
7 Feb 2021, 7:12 am
Silk, Sabastian V. [read post]
5 Feb 2021, 10:33 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5687/securities-industry-commentator/SEC Suspends Trading in Inactive Issuer Touted on Social Media (SEC Release)Statement of Acting Chair Allison Herren Lee on Contingent Settlement Offers (SEC Release)Amazon seller blasts the company's forced arbitration policy in congressional hearing on antitrust (CNBC by Lauren Feiner and Annie… [read post]
28 Jan 2021, 3:10 am
I was hoping to punt coverage of the amateur trading insanity to John’s blog rotation next week, but it seems notable that the SEC’s Acting Chair Allison Herren Lee – along with Pete Driscoll, Director of the Division of Examinations, and Christian Sabella, Acting Director of the Division of Trading and Markets – issued this joint statement yesterday to say they’re on the case. [read post]
8 Jan 2021, 5:52 am
Securities and Exchange Commission, on Tuesday, January 5, 2021 Tags: Capital formation, Direct listings, Institutional Investors, Investor protection, Listing standards, NYSE, SEC, SEC rulemaking, Securities regulation Statement by Commissioners Lee and Crenshaw on Primary Direct Listings Posted by Allison Herren Lee & Caroline Crenshaw, U.S. [read post]
