Search for: "Matthew Garza"
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18 Aug 2015, 8:52 am
By Matthew Garza, J.D.An investment adviser that managed a Bermuda-based fund failed to convince the Sixth Circuit that the limitations on extra-territorial application of Exchange Act Section 10(b) established by Morrison v. [read post]
16 Jul 2015, 5:47 am
By Matthew Garza, J.D.NASAA has expressed disappointment with a re-proposed FINRA rule that softened disclosure requirements for brokers that transfer retail customer accounts to a new firm. [read post]
18 Jun 2015, 4:00 am
By Matthew Garza, J.D.The SEC has issued an order denying a stay of Regulation A+ sought by the state of Montana. [read post]
28 May 2015, 6:07 am
By Matthew Garza, J.D.Massachusetts and Montana have filed petitions for court review of Regulation A+, adopted unanimously by the SEC on March 25 to raise the dollar limit for smaller offerings that are exempt from Securities Act registration. [read post]
26 May 2015, 11:11 am
By Matthew Garza, J.D.A derivative suit filed by a pension fund against officers and directors of JPMorgan Chase for their role in failing to maintain control of the “London Whale” was dismissed by the Delaware Court of Chancery in an opinion released late Thursday afternoon. [read post]
11 May 2015, 8:56 am
By Matthew Garza, J.D. [read post]
28 Apr 2015, 6:45 am
By Matthew Garza, J.D.The SEC staff has granted no-action relief to Hertz Global Holdings, Inc. to allow the company to grant equity compensation awards to employees despite the fact that an ongoing review of recent financial statements has prevented it from being current in its reporting obligations. [read post]
24 Apr 2015, 8:55 am
., No. 13-0750 Per Curiam MATTHEW LIPPINCOTT AND CREG PARKS v. [read post]
13 Apr 2015, 5:00 am
Schooler, April 3, 2015 SEC Fails to Establish Regulation D Violations by Matthew Garza, J.D. in Jim Hamilton’s World of Securities Litigation 17 CFR 230.506 – Exemption for limited offers and sales without regard to dollar amount of offering Real Estate Investment Fraud or Securities Fraud? [read post]
8 Apr 2015, 11:42 am
By Matthew Garza, J.D.The SEC made a prima facie showing that partnership interests sold by a San Diego company represented a sale of unregistered securities in violation of Securities Act Section 5, but did not meet its burden on a motion for summary judgment to show that the sales did not qualify for a Regulation D exemption (SEC v. [read post]
1 Apr 2015, 5:57 am
[This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.A shareholder proposal, which requests that the management of Caterpillar Inc. review its policies related to human rights to assess areas in which the company may need to adopt and implement additional policies, and report its findings, may not be excluded from the company's proxy materials under Rule 14a-8(i)(10). [read post]
24 Mar 2015, 5:33 am
[This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.Investor communication firm Broadridge Financial Solutions and PricewaterhouseCoopers have released an analysis of the 2014 proxy “mini-season,” which included data from 1,077 public company shareholder meetings held between July 1 to December 31, 2014, and provided a preview of the 2015 proxy season in a new edition of the ProxyPulse newsletter. [read post]
23 Mar 2015, 6:32 am
[This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.Congressman Stephen F. [read post]
24 Feb 2015, 2:24 pm
By Matthew Garza, J.D. [read post]
14 Jan 2015, 1:37 pm
[This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.The management's discussion and analysis (MD&A) requirement of Regulation S-K Item 303 creates an affirmative duty to disclose that can serve as the basis for an Exchange Act 10(b) fraud claim, the Second Circuit held Monday in a matter of first impression. [read post]
31 Dec 2014, 12:08 pm
[This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.The SEC announced that it has launched a pilot program to provide bulk data to facilitate investor research. [read post]
5 Nov 2014, 7:17 am
[This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.A California-based maker of medical diagnostic and life science equipment will pay $40.7 million in disgorgement to the SEC and $14.35 in penalties to the Department of Justice (DOJ) to settle violations of the Foreign Corrupt Practices Act (FCPA). [read post]
24 Oct 2014, 10:17 am
[This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.The SEC’s Chief Administrative Law Judge has determined that the Securities Industry and Financial Markets Association (SIFMA) has standing to challenge rule changes made by NYSE and NASDAQ that establish fees for access to depth-of-book data. [read post]
18 Oct 2014, 1:19 pm
[This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.In remarks before the Outlook 2014 conference, sponsored by the Managed Funds Association, CFTC Chairman Timothy Massad shared his views on two of the most pressing issues currently before the CFTC—tweaking the rules mandated by the Dodd-Frank Act, and cross border harmonization.End-users. [read post]
19 Sep 2014, 7:35 am
[This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.In two speeches delivered on Tuesday, Commissioner Daniel Gallagher asserted that the equity market structure is out of date, and expressed alarm over opaqueness in the debt markets. [read post]
