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1 Sep 2022, 8:10 am by Herskovits, PLLC
On August 23, 2022, FINRA published an AWC reflecting a settlement with ViewTrade Securities, Inc. [read post]
On March 4, 2021, then-acting SEC Chair, Allison Herren Lee was the first to act among federal regulators when she announced the creation of a new Climate and ESG Task Force in the SEC Division of Enforcement, with the stated purpose of developing “initiatives to proactively identify ESG-related misconduct. [read post]
24 Aug 2022, 5:01 am by Jim Dempsey
The first is the unavoidable centrality of risk assessment, specifically self-assessment of risk. [read post]
23 Aug 2022, 10:07 am by Holly Brezee
CLS Bank Int’l, 573 U.S. 208 (2014), which upended the law on patent subject matter eligibility). [read post]
17 Aug 2022, 2:15 pm
Safeguard Business Systems, Inc. (1998) 60 Cal.App.4th 1294, 1308 [“It is well settled that arguments . . . cannot be raised for the first time in a petition for rehearing”]; Smith v. [read post]
12 Aug 2022, 6:34 am by Dan Bressler
” “Some of the deals Kirkland has invested in alongside clients include taking stakes in Blackstone Inc. [read post]
10 Aug 2022, 6:50 pm by Race to the Bottom
Investment bank, Cowen Inc., criticized the rules as being unclear on how underwriter liability would be determined, which they say would increase the risk of investing in a SPAC. [read post]
10 Aug 2022, 6:45 pm by Race to the Bottom
., Inc., Charles Schwab Investment Advisory, Inc., and Schwab Wealth Investment Advisory, Inc., for misleading robo-adviser clients within their mandatory disclosures. [read post]