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14 Mar 2010, 8:25 am
There are no exceptions from Rule 201 for bona fide hedging, bona fide market making (including market making in OTC and listed derivatives, options, convertible securities, or exchange-traded funds), benchmark trades otherwise exempted from Regulation NMS, sales effected in connection with capital raising transactions, “exchange for physicals,” exchange traded fund transactions or market on close or market on open transactions. [read post]
27 Feb 2010, 4:59 pm
Basic Holding, Inc., 581 F.3d 1317, 1324 (Fed. [read post]
23 Feb 2010, 6:16 am
As a result of changes to NYSE Rule 452 (the “broker vote rule”) that took effect January 1, brokers that do not receive specific voting instructions from customers that hold shares in “street name” will not be able to vote those shares in director elections at a company’s annual meeting. [read post]
14 Feb 2010, 10:36 am
In July 2009, Galvin began an investigation of the sales materials of companies that sold the funds. [read post]
13 Feb 2010, 6:00 pm
Anyone could bet on anything, creating a perverse wish for the failure of companies and countries by those holding side bets but having no interest in the underlying bonds or enterprises. [read post]
6 Feb 2010, 7:31 am
The SEC continues to express concern about the quality of disclosure regarding executive compensation, with particular focus on (1) the lack of adequate discussion in the CD&A of how and why a company arrives at specific executive compensation decisions and policies, (2) noncompliance with regard to the disclosure of performance targets and (3) inadequate detail regarding peer groups and benchmarking. [read post]
27 Jan 2010, 6:10 am
But, the CEO and other senior company executives must also make these tasks the core of their leadership and management efforts as they "govern" the company on a day-to-day basis. [read post]
21 Jan 2010, 9:53 am
Their damages expert's econometric analysis, which estimated benchmark prices against which to compare actual prices during the relevant period in the Philadelphia market, was appropriate, the court decided. [read post]
15 Jan 2010, 8:29 am
On January 11, the Department unveiled the National Salt Reduction Initiative, targeted toward reducing the salt levels in products offered by restaurants and food companies. [read post]
8 Jan 2010, 7:46 am
That is selling into this market when the buybacks are not holding it up. [read post]
23 Dec 2009, 4:42 pm
The following is a summary review of articles from all over the nation concerning environmental law settlements, decisions, regulatory actions and lawsuits filed during the past week. [read post]
22 Dec 2009, 8:57 pm
Vonage Holding Corp., 503 F.3d 1295, 1302-03 (Fed. [read post]
December 21, 2009 – Environmental Law Settlements, Decisions, Regulatory Actions and Lawsuit Filings
21 Dec 2009, 10:57 am
December 21, 2009 – A summary review of environmental law settlements, decisions, regulatory actions and lawsuits filed during the past week. [read post]
21 Dec 2009, 6:03 am
At the heart of the problem is that it is legal for companies and other issuers of securities to give confidential information to rating agencies. [read post]
18 Dec 2009, 6:00 am
Again, the goal is to establish benchmarks and best practices that other businesses in similar situations can rely upon. [read post]
17 Dec 2009, 6:33 am
The decision also drew an important distinction between oversight liability with respect to business risks and oversight liability with respect to illegal conduct, emphasizing that Delaware courts will not permit “attempts to hold director defendants personally liable for making (or allowing to be made) business decisions that, in hindsight, turned out poorly. [read post]
December 14, 2009 – Environmental Law Settlements, Decisions, Regulatory Actions and Lawsuit Filings
13 Dec 2009, 8:58 pm
Along the way, he cites Cass Sunstein on the “precautionary principle,” which (per Sunstein) holds that “it is appropriate to respond aggressively to low-probability, high-impact events. [read post]
13 Dec 2009, 6:26 am
The Second Circuit declined to reach such a categorical conclusion, but did hold that jurisdiction was lacking in Morrison. [read post]
17 Nov 2009, 6:05 am
Companies should consult shareholders, but not just on pay in a formal annual meeting vote. [read post]
15 Nov 2009, 10:16 am
The clash of duty and regulation Scenario 1: A company has a lawsuit pending against it. [read post]
