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14 Jul 2024, 12:00 pm
FinCEN and the SEC explain that the aim of these two complementary proposals is “to prevent illicit finance activity in the investment adviser sector and further safeguard the U.S. financial system. [read post]
14 Jul 2024, 11:48 am
SEC examination and enforcement staff likely will continue to focus on concerns sought to be addressed by the Private Fund Rules. [read post]
14 Jul 2024, 11:00 am
Securities and Exchange Commission (the “SEC”) under the Investment Company Act of 1940 (the “Investment Company Act”). [read post]
13 Jul 2024, 6:30 am
These remarks follow the adoption of the SEC’s new cybersecurity requirements for public companies last year, as well as a series of SEC cybersecurity enforcement actions, including SEC v. [read post]
13 Jul 2024, 6:30 am
These remarks follow the adoption of the SEC’s new cybersecurity requirements for public companies last year, as well as a series of SEC cybersecurity enforcement actions, including SEC v. [read post]
12 Jul 2024, 10:24 am
SEC lawsuit, which challenges the SEC’s refusal to eliminate or amend its gag rule. [read post]
12 Jul 2024, 9:10 am
Andrew Jennings recently created a free tool to generate email alerts for SEC EDGAR filings. [read post]
12 Jul 2024, 7:00 am
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, July 30, 2024, which will include an exploration of recent changes to the U.S. [read post]
12 Jul 2024, 6:31 am
Puchniak (Yong Pung How School of Law), on Wednesday, July 10, 2024 Tags: China, China Securities Regulatory Commission, ROA, Shareholder activism Statement Regarding the Activision Amendments Posted by Michael Hanrahan, Prickett, Jones & Elliott, P.A., on Wednesday, July 10, 2024 Tags: activision, Delaware law, DGCL, moelis Court Scrutinizes Sponsor and Financial Advisor Conflicts Under Up-C Structure Posted by Gail Weinstein, Philip Richter, and Steven Epstein, Fried, Frank, Harris,… [read post]
12 Jul 2024, 6:31 am
Puchniak (Yong Pung How School of Law), on Wednesday, July 10, 2024 Tags: China, China Securities Regulatory Commission, ROA, Shareholder activism Statement Regarding the Activision Amendments Posted by Michael Hanrahan, Prickett, Jones & Elliott, P.A., on Wednesday, July 10, 2024 Tags: activision, Delaware law, DGCL, moelis Court Scrutinizes Sponsor and Financial Advisor Conflicts Under Up-C Structure Posted by Gail Weinstein, Philip Richter, and Steven Epstein, Fried, Frank, Harris,… [read post]
12 Jul 2024, 6:31 am
Puchniak (Yong Pung How School of Law), on Wednesday, July 10, 2024 Tags: China, China Securities Regulatory Commission, ROA, Shareholder activism Statement Regarding the Activision Amendments Posted by Michael Hanrahan, Prickett, Jones & Elliott, P.A., on Wednesday, July 10, 2024 Tags: activision, Delaware law, DGCL, moelis Court Scrutinizes Sponsor and Financial Advisor Conflicts Under Up-C Structure Posted by Gail Weinstein, Philip Richter, and Steven Epstein, Fried, Frank, Harris,… [read post]
12 Jul 2024, 6:31 am
Puchniak (Yong Pung How School of Law), on Wednesday, July 10, 2024 Tags: China, China Securities Regulatory Commission, ROA, Shareholder activism Statement Regarding the Activision Amendments Posted by Michael Hanrahan, Prickett, Jones & Elliott, P.A., on Wednesday, July 10, 2024 Tags: activision, Delaware law, DGCL, moelis Court Scrutinizes Sponsor and Financial Advisor Conflicts Under Up-C Structure Posted by Gail Weinstein, Philip Richter, and Steven Epstein, Fried, Frank, Harris,… [read post]
12 Jul 2024, 4:34 am
News Sources Sackler Family Risks Litigation After Supreme Court Rejects Purdue Pharma Settlement CMS moves to patch $3 billion fraud problem Judge won’t block Mississippi law on discounts for hospitals’ contract pharmacies AbbVie asks US Supreme Court to weigh protections for attorney records Purdue creditors seek approval to sue Sackler family members Assisted by GAI and LLM Technologies Additional Reading Coinbase Battles SEC Over Access to Gary Gensler’s Private… [read post]
12 Jul 2024, 3:30 am
It’s probably not an understatement to characterize many of the decisions issued by the SCOTUS in its recently completed term as “momentous” – but it may not have occurred to companies to think about the potential impact of some of those decisions when preparing risk factor disclosure for upcoming SEC filings. [read post]
12 Jul 2024, 3:00 am
Thank you to all our loyal blog readers who participated in our second anonymous poll to help us prepare for a game show featuring our SEC All-Stars as contestants at our Proxy Disclosure and Executive Compensation Conferences. [read post]
11 Jul 2024, 10:00 pm
On October 21 and 22, 2014, pursuant to the requirements of the Dodd-Frank Act, the SEC and various federal banking and housing agencies adopted credit risk retention rules for securitizations. [read post]
11 Jul 2024, 10:00 pm
On October 21 and 22, 2014, pursuant to the requirements of the Dodd-Frank Act, the SEC and various federal banking and housing agencies adopted credit risk retention rules for securitizations. [read post]
11 Jul 2024, 10:00 pm
On October 21 and 22, 2014, pursuant to the requirements of the Dodd-Frank Act, the SEC and various federal banking and housing agencies adopted credit risk retention rules for securitizations. [read post]
11 Jul 2024, 10:00 pm
On October 21 and 22, 2014, pursuant to the requirements of the Dodd-Frank Act, the SEC and various federal banking and housing agencies adopted credit risk retention rules for securitizations. [read post]
11 Jul 2024, 10:00 pm
On October 21 and 22, 2014, pursuant to the requirements of the Dodd-Frank Act, the SEC and various federal banking and housing agencies adopted credit risk retention rules for securitizations. [read post]
