Search for: "Anne Sherry"
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1 Apr 2022, 6:50 am
By Anne Sherry, J.D.The Massachusetts Secretary of the Commonwealth lacked authority to lay out a fiduciary duty for broker-dealers that conflicted with the established common law, states a decision of the Massachusetts Superior Court. [read post]
25 Mar 2022, 6:08 am
By Anne Sherry, J.D.The SEC proposed amendments to remove the references to credit rating agencies from Rules 101 and 102 of Regulation M, which prohibits activities that could artificially influence the market for an offered security. [read post]
18 Mar 2022, 7:45 am
By Anne Sherry, J.D.A group of eight U.S. [read post]
16 Mar 2022, 6:14 am
By Anne Sherry, J.D.Continuing the debate over administrative law judge constitutionality, the SEC has asked the Supreme Court to decide whether respondents in administrative proceedings can challenge ALJ validity in district courts, or whether (as the SEC argues) the Exchange Act restricts such challenges to the appellate courts. [read post]
14 Mar 2022, 7:12 am
By Anne Sherry, J.D.In her first in-person address as CorpFin Director, Renee Jones discussed the shareholder proposal rule and specifically the November 2021 Staff Legal Bulletin that rescinded three earlier bulleting. [read post]
10 Mar 2022, 7:16 am
Pallaki, The Federalist Society) Masterpiece Cakeshop Redux and the Homophobia Exemption from Anti-Discrimination Law (Sherry F. [read post]
8 Mar 2022, 6:20 am
By Anne Sherry, J.D.The Supreme Court denied Alphabet’s petition for certiorari to review a Ninth Circuit decision reviving a securities fraud claim against the company. [read post]
1 Mar 2022, 7:47 am
By Anne Sherry, J.D.The Southern District of New York denied requests made by Elon Musk and Tesla meant to hold the SEC accountable for “a pattern of conduct … that has gone beyond the pale. [read post]
24 Feb 2022, 9:25 am
By Anne Sherry, J.D.In a comment letter on FINRA’s proposal to amend the current prohibition on borrowing from or lending to customers, NASAA reiterated its position that such borrowing or lending should be prohibited outright. [read post]
18 Feb 2022, 5:21 pm
By Anne Sherry, J.D.A lawsuit alleging that an underwriter participated in a scheme to subvert Nasdaq’s listing requirements failed to allege scienter. [read post]
20 Jan 2022, 10:50 am
By Anne Sherry, J.D.IOSCO is requesting feedback on a consultation report that addresses growth in digitalization and the use of social media to market and distribute financial services and products. [read post]
10 Jan 2022, 6:33 am
By Anne Sherry, J.D.The SEC may move forward on several claims involving Morningstar’s disclosure of, and internal controls concerning, its methodologies for determining credit ratings for commercial mortgage-backed securities (CMBS). [read post]
23 Dec 2021, 9:59 am
By Anne Sherry, J.D.At its final open meeting of 2021, the SEC issued a suite of rule proposals addressing stock trading plans, stock buybacks, money market funds, and security-based swaps. [read post]
9 Dec 2021, 8:38 am
By Anne Sherry, J.D.The latest benchmark proxy voting policies from Institutional Shareholder Services incorporate feedback from a climate survey that also informed ISS’s specialty policies. [read post]
6 Dec 2021, 10:17 am
By Anne Sherry, J.D.The Securities Industry and Financial Markets Association (SIFMA), the Investment Company Institute (ICI), and The Depository Trust & Clearing Corporation (DTCC) announced their plan to shorten the settlement cycle from trade date plus two days (T+2) to T+1 by the first half of 2024. [read post]
1 Dec 2021, 6:41 am
By Anne Sherry, J.D.SEC staff released new guidance showing a focus on the accounting treatment of spring-loaded options, or non-routine options granted while the company possesses material non-public information. [read post]
9 Nov 2021, 6:20 am
By Anne Sherry, J.D.In a forcefully stated keynote address to the SEC Regulation Outside the United States conference in London, Enforcement Director Gurbir Grewal insisted that the SEC does not “regulate by enforcement” when it applies longstanding regulations to new and emerging technologies and products. [read post]
27 Oct 2021, 8:35 am
By Anne Sherry, J.D.The SEC’s Division of Examinations issued a risk alert summarizing its observations from exams in the Registered Investment Company (RIC) Initiatives, a series of exams focusing on mutual funds and ETFs to assess practices and compliance in areas that could affect retail investors. [read post]
22 Oct 2021, 10:26 am
By Anne Sherry, J.D.SEC Chair Gary Gensler discussed the challenges the SEC faces in adapting its tripartite mission to emerging technologies such as stablecoins, DeFi, and direct trading platforms. [read post]
20 Oct 2021, 8:20 am
By Anne Sherry, J.D.The latest Corporate Directors Survey from PricewaterhouseCoopers finds that boards are significantly more receptive to ESG issues compared to their attitudes just a year ago. [read post]
