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27 Aug 2020, 5:00 pm
Tech stocks boom. [read post]
18 Aug 2020, 6:30 am
Thereafter, it came to light that Senator Elizabeth Warren (D-Mass) had written a letter to SEC Chairman Jay Clayton asking for an investigation of the deal and Kodak for apparent violations of the securities laws and SEC regulations.Sen. [read post]
14 Aug 2020, 3:02 am
The complaint seeks to claw back severance payments – and to prevent the exercise of stock options and sale of stock issuable under outstanding equity awards. [read post]
10 Aug 2020, 3:56 pm
Image by Gerd Altmann from PixabayFrom where I sit, the SEC under the chairmanship of Jay Clayton has generally done a good job for public companies. [read post]
6 Aug 2020, 3:30 pm
Nelson, J.D.Senator Elizabeth Warren (D-Mass) urged in a letter to SEC Chairman Jay Clayton that the SEC investigate the issuance of company stock, lack of Regulation FD disclosure, and other unusual trading patterns in the stock of Eastman Kodak Co. [read post]
4 Aug 2020, 4:24 pm
The letter also takes aim at recent remarks made by Commissioner Elad Roisman, who had been tasked by Chairman Jay Clayton with heading up the Commission’s proxy process reform efforts. [read post]
24 Jul 2020, 12:10 am
Crespo is a graduate of John Jay College of Criminal Justice, is married and has two young daughters.William Thompson, Jr. [read post]
24 Jul 2020, 12:10 am
Crespo is a graduate of John Jay College of Criminal Justice, is married and has two young daughters.William Thompson, Jr. [read post]
22 Jul 2020, 9:40 am
Key Findings Sixteen states will hold a sales tax holiday in 2020, down from a peak of 19 in 2010 but unchanged from last year. [read post]
21 Jul 2020, 10:43 am
On June 22, 2020, Assistant Attorney General Makan Delrahim, head of the Antitrust Division at the Department of Justice, and Jay Clayton, Chairman of the Securities and Exchange Commission, signed a Memorandum of Understanding (“MOU”) concerning “Cooperation with Respect to Promoting Competitive Conditions in the Securities Industry. [read post]
1 Jul 2020, 6:03 am
June 16, 2020 The Honorable Jay Clayton Chairman U.S. [read post]
21 Jun 2020, 7:18 am
4) Jay Clayton, having spent about a dozen hours in the Starbucks around the corner from the SDNY waiting to be given the keys, was briefly hospitalized with caffeine intoxication. [read post]
20 Jun 2020, 9:46 am
In April 2018, Dollase and two Wanu stockholders, Jay Binkley and Greg Hunter, raised allegations against O’Gara. [read post]
12 Jun 2020, 6:15 am
BREAKING STORY: Supreme Court Issues DACA Opinion -- READ FULL TEXT The SEC told bankrupt Hertz it has issues with its plan to sell stock, Chairman Jay Clayton says (CNBC by Maggie Fitzgerald)Federal Court Orders Alabama Man to Pay $755,000 for Binary Options Fraud (CFTC Release)Insurance Company and Former CFO Charged with Faulty Loss Reserves Disclosures (SEC Release)Two Mexican Nationals Plead Guilty to Timeshare Telemarketing Scam (DOJ Release)Stopping Hackers in Their Tracks /… [read post]
9 Jun 2020, 6:22 am
” [5] In addition to identifying “highly impacted” industries, the SEC has also noted that “microcap stocks may be particularly vulnerable to fraudulent investment schemes, including coronavirus-related scams. [read post]
1 Jun 2020, 12:37 pm
Once stripped, voting rights can typically only be restored by a supermajority vote of other stockholders.On the other hand, Investment Company Act Section 18(i) requires that "every share of stock hereafter issued by a registered management company be a voting stock and have equal voting rights with every other outstanding voting stock. [read post]
28 May 2020, 8:23 am
Providing Card Services to Fintech Companies Around the World Gives Marqeta a $4.3 Billion ValuationTech Crunch – May 28, 2020 This could have been Marqeta’s year to list as a public company on a major American stock exchange. [read post]
22 May 2020, 6:02 am
Carlin, Wachtell, Lipton, Rosen & Katz, on Saturday, May 16, 2020 Tags: Compliance and disclosure interpretation, Reporting regulation, SEC, SEC enforcement, Securities enforcement, Whistleblowers Remarks by SEC Chairman Clayton to the Financial Stability Oversight Council Posted by Jay Clayton, U.S. [read post]
8 May 2020, 5:58 am
Public Company Compensation Committees in Light of COVID-19 Posted by Lynda Galligan and Alexandra Denniston, Goodwin Procter LLP, on Friday, May 1, 2020 Tags: COVID-19, Disclosure, Equity-based compensation, Executive Compensation, Incentives, Management, Pay for performance, Performance measures, Repricings, Section 162(m), Stock options, Succession A New Era For Activist Defense: Going Beyond the Relics of the 80s… [read post]
1 May 2020, 6:02 am
Marino, , on Thursday, April 30, 2020 Tags: Equity-based compensation, Executive Compensation, Incentives, Long-Term value, Pay for performance, Performance measures, Repricings, Stock options [read post]
