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2 Nov 2018, 6:09 am
Freed, Karl Sandstrom, Dan Carroll, and Caitlin Moniz, Center for Political Accountability, on Friday, October 26, 2018 Tags: Accountability, Boards of Directors, Charitable spending, Corporate Social Responsibility, Disclosure, Engagement, Political spending, Securities regulation, Transparency Silicon Valley and S&P 100: A Comparison of 2018 Proxy Season Results Posted by David Bell, Fenwick & West LLP, on Saturday, October 27,… [read post]
31 Oct 2018, 2:20 pm
The Trusts have no employees or internal management and rely on certain trust-related agreements to provide their operating structure. [read post]
30 Oct 2018, 6:17 am
The Appellate Division also reasoned that its decision was consistent with Section 2 of the Federal Arbitration Act (FAA), which permits a court to invalidate an arbitration agreement “upon such grounds as exist at law or in equity for the revocation of any contract. [read post]
29 Oct 2018, 7:27 am
The following allegedly took in sales compensation for selling Parking REIT securities, the SEC states: • Accelerated Capital Group; • Centaurus Financial, Inc.; • Coastal Equities, Inc.; • Crown Capital Securities, L.P.; • Forest Securities, Inc.; • Great Point Capital LLC; • NI Advisors; • Sandlapper Securities, LLC; • Whitehall-Parker Securities, Inc. [read post]
29 Oct 2018, 3:46 am
., Inc. [read post]
27 Oct 2018, 7:11 am
Posted by Matteo Tonello, Paul Hodgson, and James Reda, The Conference Board, Inc., on Saturday, October 27, 2018 Editor's Note: Matteo Tonello is Managing Director at The Conference Board, Inc. [read post]
26 Oct 2018, 12:44 pm
The Orders allege that AEGON USA Investment Management LLC, Transamerica Asset Management, Inc., Transamerica Capital, Inc., and Transamerica Financial Advisors, Inc., marketed various products and investment strategies that used a “proprietary quant model” while failing to verify whether the models functioned as intended and without disclosing known risks connected with the models. [read post]
26 Oct 2018, 7:31 am
Craft Capital Management LLC David Rodgers Allstate Financial Services, LLC Rodgers Capital Management Michael Sekusky Jimmy Tran J.P. [read post]
26 Oct 2018, 6:01 am
Tiger, Cleary Gottlieb Steen & Hamilton LLP, on Wednesday, October 24, 2018 Tags: Boards of Directors, Controlling shareholders, Dividends, Dual-class stock, Listing standards, Minority shareholders, NYSE, Securities litigation CEO Succession Practices in the S&P 500 Posted by Matteo Tonello, The Conference Board, Inc. and Jason Schloetzer, Georgetown University, on Thursday, October 25, 2018 Tags: Boards of… [read post]
24 Oct 2018, 4:33 pm
John Reed Stark Most readers are undoubtedly familiar with the concept of “insider trading” – that is, the purchase or sale by company insiders of their personal holdings in company shares based on material non-public information. [read post]
20 Oct 2018, 1:00 pm
Private Equity firm Platinum Equity purchased J&J’s LifeScan blood glucose monitoring unit for $2.1 billion. [read post]
19 Oct 2018, 2:07 pm
WSJ Nonprofit Quarterly: TRENDING: Risk, Uncertainty, and Nonprofit Entrepreneurship Karim Harji: The Impact Principle – new report on widening and deepening the #impinv market – inc guidance on designing and managing for impact, while elevating impact integrity and transparency. [read post]
19 Oct 2018, 6:08 am
Posted by Megan Von Duhn, Equilar, Inc., on Monday, October 15, 2018 Tags: Board composition, CFOs, Diversity, Management The Twilight of Enhanced Scrutiny in Delaware M&A Jurisprudence Posted by Iman Anabtawi (UCLA), on Monday, October 15, 2018 Tags: Boards of Directors, Corwin, Delaware articles, Delaware cases, Delaware law, Fairness review, Merger litigation, Mergers &… [read post]
18 Oct 2018, 7:57 am
“[W]e call upon the Commission to do a retrospective review of the Order Protection Rule and other interrelated aspects of equity market structure: Why do we still have the Order Protection Rule? [read post]
12 Oct 2018, 6:28 am
Larcker (Stanford University), Brian Tayan (Stanford University), and Edward Watts (Stanford University), on Tuesday, October 9, 2018 Tags: Equity offerings, Equity-based compensation, IPOs, Private firms, Stock options, Tech companies Petition to SEC for Rulemaking on Environmental, Social, and Governance (ESG) Disclosure Posted by Cynthia A. [read post]
5 Oct 2018, 1:55 pm
VII Peaks Co-Optivist Income BDC II, Inc. is an externally managed, non-diversified closed-end management investment company that is a business development company (BDC). [read post]
5 Oct 2018, 5:52 am
Shaw, Fried, Frank, Harris, Shriver & Jacobson LLP, on Tuesday, October 2, 2018 Tags: Covenants, Delaware cases, Delaware law, Earnouts, Merger litigation, Mergers & acquisitions The Rise of the Working Class Shareholder Posted by David Webber (Boston University), on Tuesday, October 2, 2018 Tags: AFL-CIO, Class actions, ERISA, Fiduciary duties, Fund performance, Institutional Investors, Labor… [read post]
27 Sep 2018, 6:44 pm
Trascent Management Consulting, Inc. v. [read post]
27 Sep 2018, 5:05 pm
Supreme Court’s 2011 decision in Walmart Stores, Inc. v. [read post]
26 Sep 2018, 2:39 pm
Such disclosures occur via Form ATS-N, which seeks information regarding the ATS’s manner of operations, its managing broker-dealer, the broker-dealer’s affiliates, and the broker-dealer’s ATS-related activities. [read post]
