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29 Aug 2018, 12:01 pm by Alan S. Kaplinsky and Mark J. Levin
  Based on the legal authority we discuss, the SEC would have a solid legal and policy basis for permitting arbitration provisions with class action waivers to be used in corporate charters or bylaws. [read post]
24 Aug 2018, 6:06 am
Posted by Harvard Law School Forum on Corporate Governance & Financial Regulation, on Friday, August 24, 2018 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of August 17-23, 2018. [read post]
19 Aug 2018, 2:50 pm by Kevin LaCroix
  In a statement issued also issued on Friday, SEC Chair Jay Clayton noted that “encouraging long-term investment in our country” is a key consideration for American companies. [read post]
6 Aug 2018, 1:14 pm by Michael Blume
Rosenstein, the Chairman of the Securities and Exchange Commission (Jay Clayton), the Acting Director of the Bureau of Consumer Financial Protection (Mick Mulvaney), and the Chairman of the Federal Trade Commission (Joe Simons) all spoke. [read post]
3 Aug 2018, 6:10 am
Posted by Harvard Law School Forum on Corporate Governance & Financial Regulation, on Friday, August 3, 2018 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of July 27–August 2, 2018. [read post]
1 Aug 2018, 7:15 am by John Jascob
Chairman Clayton remarked that the roundtable is needed to reassess the proxy process and shareholder engagement in light of the many changes that have occurred in the financial markets, corporate governance, and technology since the Commission last issued a concept release in 2010, which addressed whether the proxy process at that time met shareholder and U.S. public company expectations for accuracy, reliability, transparency, accountability, and integrity.Potential topics. [read post]
30 Jul 2018, 3:03 am by Broc Romanek
This tone seems to play to Chair Clayton’s focus on retail investors. [read post]
27 Jul 2018, 5:54 am by Krishnan Nair, contributor
Magic circle veteran Marchant retires after nearly 30 years for move to Australian firm Clayton Utz [read post]
14 Jul 2018, 6:53 am by Arina Shulga
William Hinman, Director for the Division of Corporation Finance of the U.S. [read post]
10 Jul 2018, 5:17 pm by Kevin LaCroix
The SEC alleged that the ICO was based on outright deception by the defendants who falsely proclaimed in TBIS’s investment whitepaper and on TBIS’s and EHI’s websites that well-known corporations and the U.S. [read post]
10 Jul 2018, 5:00 am by John Jascob
Clayton also stated that any decision on whether to declare effective an IPO filing with a mandatory arbitration clause would be made by the Commission itself and not the Division of Corporation Finance under delegated authority. [read post]
10 Jul 2018, 3:57 am by Hedge Fund Lawyer
The company used false corporate relationships and testimonies to inflate the values of their digital assets. [read post]
29 Jun 2018, 6:04 am
Emmerich and Robin Panovka, Wachtell, Lipton, Rosen & Katz, on Saturday, June 23, 2018 Tags: Boards of Directors, Change in control, Merger litigation, Mergers & acquisitions, Private equity, REITs, Shareholder activism Chairman Clayton Testimony on the Oversight of the SEC Posted by Jay Clayton, U.S. [read post]
William Hinman, SEC Director of the Division of Corporation Finance, on the other hand, did address such a question. [read post]
22 Jun 2018, 6:01 am
Posted by Harvard Law School Forum on Corporate Governance & Financial Regulation, on Friday, June 22, 2018 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of June 15-21, 2018. [read post]
19 Jun 2018, 2:09 am by Broc Romanek
This nice blog from Cooley’s Cydney Posner offers a bunch of interesting nuggets from an interview with SEC Chair Jay Clayton and Corp Fin Director Bill Hinman at a recent WSJ event. [read post]
8 Jun 2018, 6:47 am
Posted by Harvard Law School Forum on Corporate Governance & Financial Regulation, on Friday, June 8, 2018 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of June 1-June 7, 2018. [read post]
7 Jun 2018, 7:22 am by John Jascob
Clayton also reiterated his belief that it's “good corporate hygiene” for companies to have controls that prevent senior executives from trading, once a determination has been made about a material event. [read post]
24 May 2018, 7:34 am by John Jascob
Clayton responded that the Division of Corporation Finance welcomes people to approach them about how they’d like to conduct their offering, whether they want to conduct a public offering, or if they need guidance on complying with private placement rules. [read post]