Search for: "Anne Sherry"
Results 121 - 140
of 406
Sorted by Relevance
|
Sort by Date
29 Oct 2020, 8:10 am
By Anne Sherry, J.D.A joint statement from SEC Chairman Jay Clayton and the directors of the Divisions of Investment Management, Corporation Finance, and Trading and Markets outlined some of the issues underlying complex investment products available to retail investors. [read post]
22 Jul 2015, 8:59 am
By Anne Sherry, J.D.The Department of Labor is the wrong regulator to impose a fiduciary standard on retirement advisors, according to SIFMA. [read post]
14 May 2019, 5:00 am
By Anne Sherry, J.D. [read post]
26 May 2023, 8:20 am
By Anne Sherry, J.D.The SEC filed a settled order against Sciens Diversified Managers, LLC, for compliance failures in the area of asset valuation. [read post]
25 May 2017, 8:28 am
By Anne Sherry, J.D.Assessing the viability of a securities fraud class action, the Court of Appeals for the Ninth Circuit held that the statute of limitations was tolled during the pendency of two prior class actions. [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]
19 May 2023, 8:43 am
By Anne Sherry, J.D.A district court in California overturned a state law that required public companies to achieve board diversity goals for persons from underrepresented communities. [read post]
11 Feb 2020, 4:30 am
By Anne Sherry, J.D.With over a third of the voting power in NCI Building Systems, along with a proportionate number of insiders on the board and contractual veto rights, private equity firm Clayton, Dubilier & Rice may have controlled the company sufficient to cast doubt on its 2018 acquisition of Ply Gem. [read post]
1 Apr 2020, 3:38 pm
By Anne Sherry, J.D. [read post]
24 May 2016, 9:45 am
By Anne Sherry, J.D.Directors of Chelsea Therapeutics did not breach their duty of loyalty in approving the biopharm company's sale to Lundbeck. [read post]
5 Jun 2018, 9:05 am
By Anne Sherry, J.D. [read post]
29 Dec 2022, 9:50 am
By Anne Sherry, J.D.PCAOB Chair Erica Y. [read post]
18 Feb 2021, 6:30 am
By Anne Sherry, J.D.The SEC and New York state filed charges against Coinseed, Inc., and its CEO for conducting an unregistered securities offering. [read post]
12 Aug 2016, 9:38 am
By Anne Sherry, J.D.The failure of futures commission merchant TransAct to record a customer's phone instructions did not give rise to a presumption in favor of the customer. [read post]
13 Nov 2017, 7:00 am
By Anne Sherry, J.D.An SEC-hosted regulatory roundtable on the nascent regulatory regime for municipal advisors took an optimistic outlook, even as an OCIE risk report identified compliance deficiencies uncovered in examinations. [read post]
4 Mar 2021, 5:00 am
By Anne Sherry, J.D.Former stockholders of Columbia Pipeline, which was acquired by TransCanada in 2016, defeated motions to dismiss their fiduciary-duty and aiding-and-abetting claims against Columbia’s former officers and TransCanada, respectively. [read post]
10 Nov 2014, 11:10 am
[This story previously appeared in Securities Regulation Daily.]By Anne Sherry, J.D.The Delaware Court of Chancery declined to issue declaratory relief blessing a hypothetical strategy by Allergan stockholders to replace the entire board at a special meeting, as the challenge to Allergan’s interpretation of the “similar item” provision in its governing documents was not ripe for review (In re Allergan, Inc. [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]
11 Oct 2017, 5:00 am
By Anne Sherry, J.D.For the second time, the Delaware chancery court has dismissed a lawsuit alleging that a REIT overpaid for assets. [read post]
12 Nov 2020, 5:00 am
By Anne Sherry, J.D.The SEC’s Office of Compliance Inspections and Examinations released a risk alert detailing its observations from the Multi-Branch Initiative, a series of examinations of investment advisers operating from geographically dispersed locations. [read post]
