Search for: "Anne Sherry"
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16 Oct 2015, 9:52 am
By Anne Sherry, J.D.A PCAOB report identifies significant deficiencies in auditors’ compliance with risk assessment standards. [read post]
10 Sep 2014, 3:03 pm
[This story previously appeared in Securities Regulation Daily.]By Anne Sherry, J.D.Its inspections staff having observed significant audit deficiencies with respect to revenue, the PCAOB has issued a Staff Audit Practice Alert highlighting requirements for testing revenue recognition, presentation, disclosure, and controls. [read post]
12 Jul 2017, 5:00 am
By Anne Sherry, J.D.Directors and officers of Nevada corporations will soon have assurance that they need not abide by other states’ laws or practices. [read post]
8 Oct 2015, 4:55 am
By Anne Sherry, J.D.The SEC is allowing a pair of KPMG accountants to brief whether the administrative law judge who sanctioned them was appointed in violation of the Constitution. [read post]
2 Mar 2017, 8:40 am
By Anne Sherry, J.D.In a case of first impression, the Delaware Court of Chancery held that Section 220 of the Delaware General Corporation Law only allows plaintiffs to sue for books and records if they are still shareholders at the time of suit. [read post]
23 Feb 2015, 7:53 am
[This story previously appeared in Securities Regulation Daily.]By Anne Sherry, J.D.An investment adviser who received Wells notices of a potential SEC administrative proceeding is seeking injunctive and declaratory relief preventing the enforcement action. [read post]
20 Aug 2014, 2:31 pm
[This story previously appeared in Securities Regulation Daily.]By Anne Sherry, J.D.The PCAOB is seeking public comment on standard-setting activities related to auditing accounting estimates and fair value measurements. [read post]
18 May 2016, 9:02 am
By Anne Sherry, J.D.The SEC approved FINRA's adoption of a rule requiring brokers who move to a new firm to provide a communication to customers they want to take with them. [read post]
28 Mar 2017, 5:00 am
By Anne Sherry, J.D.A broker-dealer that operates an alternative trading system (ATS) petitioned the SEC for guidance on when digital assets will be deemed securities and whether firms that facilitate their trading must register as a broker-dealer, ATS, or exchange. [read post]
13 May 2024, 7:16 am
By Anne Sherry, J.D.The Supreme Court should not hear an appeal of a Ninth Circuit decision adverse to NVIDIA Corporation, according to the plaintiffs. [read post]
16 Aug 2019, 5:00 am
By Anne Sherry, J.D. [read post]
3 Nov 2014, 8:11 am
[This story previously appeared in Securities Regulation Daily.]By Anne Sherry, J.D.An academic study on say-on-pay patterns suggests that small shareholders are more likely than large shareholders to use the nonbinding vote to govern their companies, although larger shareholders must still be present to compel the board to take action when support for the compensation plan is low.The paper by Miriam Schwartz-Ziv of Michigan State University and Russ Wermers of the University of… [read post]
22 Dec 2017, 8:00 am
By Anne Sherry, J.D.The SEC has named Marc Berger as director of the New York Regional Office. [read post]
3 May 2016, 7:34 am
By Anne Sherry, J.D.The blockchain protocol developed for financial firms over the last 18 months is now available to the wider financial community. [read post]
10 Mar 2020, 10:09 am
By Anne Sherry, J.D.The Secretary of State of California released its second report on gender diversity in public companies headquartered in the state. [read post]
28 Jul 2020, 9:50 pm
By Anne Sherry, J.D.The U.S. [read post]
28 Feb 2011, 3:40 pm
(Based on her mugshot, query whether sleeping with Sherry Ann Ramos qualifies as a “pleasurable activit[y]. [read post]
19 Apr 2023, 6:34 am
By Anne Sherry, J.D.The North American Securities Administrators Association (NASAA) admitted Guam’s securities regulator to the group and approved two regulatory proposals. [read post]
20 Sep 2022, 7:13 am
By Anne Sherry, J.D.Expressing concerns about the CFTC’s routine acceptance of neither-admit-nor-deny settlements, Commissioner Christy Goldsmith Romero proposed a test for assessing whether the Commission should require an admission of wrongdoing. [read post]
7 Feb 2017, 6:54 am
By Anne Sherry, J.D.The Delaware Supreme Court affirmed the chancery court’s dismissal of a derivative action surrounding Lululemon’s founder’s alleged insider trades. [read post]
