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30 Nov 2023, 9:05 pm
Release No. 11226, In re Impact Theory LLC, Order Instituting Cease-and-Desist Proceedings (Aug. 28, 2023), https://www.sec.gov/files/litigation/admin/2023/33-11226.pdf; Elizabeth Napolitano, SEC Issues First Enforcement Action Targeting NFTs, CoinDesk (Aug. 28, 2023), https://www.coindesk.com/policy/2023/08/28/sec-issues-first-enforcement-action-targeting-nfts/. [read post]
20 Nov 2023, 9:01 pm
Madoff Investment Securities LLC (BLMIS) was a Ponzi scheme led to its liquidation under the Securities Investor Protection Act (SIPA).1 A SIPA liquidation is designed to collect “customer property” for ratable distribution among customers based on their “net equity” — investments minus withdrawals (i.e., loss of principal).2 SIPA largely incorporates the Bankruptcy Code and allows the SIPA trustee to recover property transferred by the debtor that… [read post]
17 Nov 2023, 6:30 am
Posner, Cooley LLP, on Sunday, November 12, 2023 Tags: Buyback, Fifth Circuit, First Amendment, SEC “Optimizing” and Match: Bad Policy Threatens to Drive Bad Law Posted by Greg Varallo, Andrew Blumberg, and James Janison, Bernstein Litowitz Berger & Grossmann LLP, on Monday, November 13, 2023 Tags: Delaware Court of Chancery, MatchMakers, MFW, SLC 2023 Proxy Season Review: Institutional Investor Expectations in a Divided World Posted by Sydney Carlock, Sean… [read post]
17 Nov 2023, 6:30 am
Posner, Cooley LLP, on Sunday, November 12, 2023 Tags: Buyback, Fifth Circuit, First Amendment, SEC “Optimizing” and Match: Bad Policy Threatens to Drive Bad Law Posted by Greg Varallo, Andrew Blumberg, and James Janison, Bernstein Litowitz Berger & Grossmann LLP, on Monday, November 13, 2023 Tags: Delaware Court of Chancery, MatchMakers, MFW, SLC 2023 Proxy Season Review: Institutional Investor Expectations in a Divided World Posted by Sydney Carlock, Sean… [read post]
16 Nov 2023, 8:36 am
As firms representing workers, consumers, investors, the injured, and victims of discrimination, fraud, and human rights abuses, we regularly recruit law students committed to social justice. [read post]
10 Nov 2023, 6:30 am
Llewellyn, Fenwick & West LLP, on Tuesday, November 7, 2023 Tags: Board of Directors, Institutional Investors, Proxy season, Say on pay SEC Adopts Amendments to Beneficial Ownership Reporting Rules Posted by Eric Orsic, Thomas Conaghan, and Heidi Steele, McDermott Will & Emery LLP, on Wednesday, November 8, 2023 Tags: Beneficial Ownership, Exchange Act, SEC, Sections 13 Remarks by Commissioner Uyeda at the Practicing Law Institute’s 55th Annual… [read post]
10 Nov 2023, 6:30 am
Llewellyn, Fenwick & West LLP, on Tuesday, November 7, 2023 Tags: Board of Directors, Institutional Investors, Proxy season, Say on pay SEC Adopts Amendments to Beneficial Ownership Reporting Rules Posted by Eric Orsic, Thomas Conaghan, and Heidi Steele, McDermott Will & Emery LLP, on Wednesday, November 8, 2023 Tags: Beneficial Ownership, Exchange Act, SEC, Sections 13 Remarks by Commissioner Uyeda at the Practicing Law Institute’s 55th Annual… [read post]
9 Nov 2023, 9:01 pm
In August 2022, the Commission filed a case against Crown Bridge Partners, LLC (“Crown Bridge”) and its two members, who were brothers, alleging that they “engaged in the buying and selling large volumes of penny stocks for their own account. [read post]
1 Nov 2023, 11:41 am
Undoubtedly, these present revolutionary solutions to investors. [read post]
30 Oct 2023, 1:15 pm
“Retail and institutional investors rely on accurate disclosures of the companies that make up a closed-end or mutual fund’s portfolio to evaluate a current or prospective investment in the fund,” said Andrew Dean, Co-Chief of the Enforcement Division’s Asset Management Unit. [read post]
29 Oct 2023, 10:02 am
McLaughlin, UCLA Law Review) Charitable Cause Pluralism and Prescription in Historical Perspective (Benjamin Soskis, Urban Institute) Opinion: A.I. [read post]
27 Oct 2023, 6:00 am
The proposed rule would require financial institutions to share data at a consumer’s direction with companies offering competing products. [read post]
26 Oct 2023, 12:50 pm
” Protecting yourself against Broker Embezzlement To mitigate the risk of broker embezzlement, financial institutions and investors can implement several preventive measures to avoid these financial devastations. [read post]
26 Oct 2023, 12:25 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
25 Oct 2023, 12:36 pm
“Retail and institutional investors rely on accurate disclosures of the companies that make up a closed-end or mutual fund’s portfolio to evaluate a current or prospective investment in the fund,” said Andrew Dean, Co-Chief of the Enforcement Division’s Asset Management Unit. [read post]
25 Oct 2023, 8:30 am
Morgan Institutional Investments Inc. [read post]
24 Oct 2023, 9:01 pm
It undermines the investor confidence needed for the fair, efficient, and orderly operation of our markets and for capital formation. [read post]
20 Oct 2023, 2:40 pm
The rule allows for other forms of preferential treatment to certain investors, but the material terms of this preferential treatment must generally be disclosed, in writing, to all other investors and prospective investors. [read post]
18 Oct 2023, 7:43 am
These fraudulent behaviors have potentially devastating consequences for investors and financial institutions alike. [read post]
17 Oct 2023, 6:45 am
The second disclosure law, SB 261, aims at increasing “transparency to policy makers, investors, and shareholders… [and] improve[] decision making on where to invest private and public dollars. [read post]
