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Delay in SEC Proxy Access Rules
30 Dec 2009, 1:10 pm by Morse, Barnes-Brown Pendleton
Somers On December 14, 2009, the Securities and Exchange Commission re-opened for 30 additional days the comment period for its proposed proxy access rules. [read post]
MBBP's Good Company - http://blogmbbp.wordpress.com
Second Circuit Holds That SEC Need Not Prove "Proximate Cause" for Aiders and Abettors Under Section 20(e) of the Securities Exchange Act of 1934
15 Aug 2012, 10:13 am
Under Section 20(e), the Second Circuit held, the Securities and Exchange Commission (“SEC”) need not show that an aider and abettor “proximately caused” the harm on which the primary violation was predicated. [read post]
Corporate Securities Law Blog - http://www.corporatesecuritieslawblog.com/
SEC Continues to Adapt to Use of Social Media – Companies not Responsible for Re-Tweets
13 May 2014, 12:12 pm by Morse, Barnes-Brown Pendleton
Securities and Exchange Commission (SEC) has been considering how the use of the social media by public companies fits within the existing regulatory framework. [read post]
MBBP's Good Company - http://blogmbbp.wordpress.com
Blowing the Whistle on Securities Fraud
8 Dec 2015, 10:30 am by Louthian Law Firm
Under Dodd-Frank, the Office of the Whistleblower was established for the Securities Exchange Commission (SEC) to encourage those who have information about securities and commodities laws violations to notify the authorities. [read post]
South Carolina Lawyer Blog - http://www.southcarolinalawyerblog.com/
Bipartisan Group of Former SEC Officials and Securities Experts Confirms Longstanding SEC Authority on Climate Disclosure
16 Jun 2022, 9:05 pm by Working Group on Securities Disclosure Authority
Securities and Exchange Commission on June 16, 2022. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
In re BP p.l.c. Securities Litigation: Some 10(b) Claims Spawned by Deepwater Horizon Disaster Survive Motion to Dismiss
15 May 2012, 5:00 am by Jeremy Liles
Plaintiffs, acquirers of BP ordinary shares and ADS between January 16, 2007 and May 28, 2010, asserted that BP violated Section 10(b) of the Securities and Exchange Act of 1934 and Rule 10b-5 of the Securities and Exchange Commission by issuing false or misleading statements before and after the incident. [read post]
The Race to the Bottom - http://www.theracetothebottom.org/home/
What Happens If a Cryptocurrency Exchange Files for Bankruptcy?
2 Feb 2022, 9:06 pm by Adam Levitin
If you knowingly transgress the stay, you're facing sanctions. [read post]
Credit Slips - http://www.creditslips.org/creditslips/
SEC Charges Western International & Reps with Reg BI Violations re GWG L Bonds 
17 Jun 2022, 7:23 am by The White Law Group
  According to a press release on June 16, 2022, the Securities and Exchange Commission charged registered broker-dealer Western International Securities, Inc. and five of its brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan – with violating Reg BI (Regulation Best Interest) when they recommended and sold bond offerings from GWG Holdings, an unrated, high-risk debt security to retirees and other… [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
In re Merrill Lynch Auction Rate Securities: Investor’s Claims Against Merrill Lynch and Money Market 1 Dismissed
6 Jun 2012, 5:00 am by Samuel Hagreen
  In May 2006, the Securities and Exchange Commission (“SEC”) issued a cease and desist order stating this practice was a violation of securities laws unless it was fully disclosed. [read post]
The Race to the Bottom - http://www.theracetothebottom.org/home/
Due diligence defence for distribution of securities in breach of securities law
26 Jul 2017, 7:00 am by Nader Hasan
Notwithstanding such reason, it is absolutely necessary to the future of the issuer, its directors and officers and any agents, finders, or promoters, to appreciate and understand their responsibilities upon conducting a private placement, as illustrated in the recent British Columbia Securities Commission (Commission) decision, Re SunCentro, 2017 BCSECCOM 58 (SunCentro). [read post]
Deal Law Wire - http://www.deallawwire.com/
CII Letter to the SEC—Proxy Advisor Regulation
24 Oct 2019, 6:07 am
This post is based on a comment letter that CII submitted to the United States Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
SEC Should Mandate Disclosures on COVID-19 Risks and Responses
1 Jul 2020, 6:03 am
Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Comprehensive disclosure requirements to allow investors and the public to analyze companies during the COVID-19 pandemic. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
How Good Is Your Business Continuity Plan?
19 Aug 2013, 6:28 am by Doug Cornelius
The Securities and Exchange Commission wants it to be better. [read post]
Compliance Building - http://www.compliancebuilding.com
SEC re-proposes ABS conflicts of interest rule
26 Jan 2023, 9:30 am by Unknown
Tonkovic, J.D.In its first open meeting of 2023, the SEC unanimously approved the re-proposal of a 2011 rule prohibiting certain conflicts of interest in the context of asset-backed securities. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC Chair Gensler Talks Registration of Security-Based Swap Execution Facilities
7 Apr 2022, 9:01 pm by Gary Gensler
Securities and Exchange Commission. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Opening Statement at the SEC Open Meeting
13 Oct 2018, 7:22 am
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
SEC charges SolarWinds and Chief information security officer with fraud, internal control failures
31 Oct 2023, 11:41 am by jeffreynewmanadmin
The Securities and Exchange Commission has charged charges against Austin, Texas-based software company SolarWinds Corporation and its chief information security officer, Timothy G. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
SEC Staff Guidance on the Use of Social Media in Securities Offerings, Tender Offers, Business Combinations and Proxy Contests
14 May 2014, 7:57 am by David M. Lynn
Securities and Exchange Commission (SEC) recently provided guidance on applying its rules regarding communications in connection with securities offerings, tender offers, business combinations and proxy contests when statements are made utilizing certain social media channels. [read post]
Socially Aware Blog - http://www.sociallyawareblog.com/
Minnesota RES Expansion Moves Forward
2 Apr 2013, 10:12 am by Thomas Braun
  The current standard requires that Minnesota’s utilities secure 25% of their power from renewable sources by 2025 (30% for Xcel Energy in exchange for nuclear waste storage at Prairie Island). [read post]
Renewable + Law - http://www.lawofrenewableenergy.com/
Of foxes and henhouses
25 May 2011, 6:42 am
Here's a report that turns over some rocks at the Securities and Exchange Commission, exposing some ugly critters underneath. [read post]
Jack Bog's Blog - http://bojack.org/