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20 Mar 2020, 12:26 pm
For example, the “DealBook” section of The New York Times quotes Scott Stringer, New York City Comptroller, saying that the funds he oversees “will not take action against boards holding virtual-only annual meetings due to the coronavirus that disclose their rationale and affirm their commitment to holding in-person meetings in the future. [read post]
17 Jun 2011, 2:00 am
1) DealBook: Overworked and Under Siege, Regulators to Blow Deadline – This week, the SEC and CFTC were forced to admit what many had seen coming for months, they simply do not have the resources to write all of the new rules mandated by Dodd-Frank on time. [read post]
What type of “insider trading” is prohibited by the CFTC within the commodities and futures markets?
28 Feb 2011, 11:36 am
Is Set to Get Tougher on Fraud, New York Times, Dealbook, available at http://dealbook.nytimes.com/2010/11/01/c-f-t-c-is-set-to-get-tougher-on-fraud/. [read post]
19 May 2015, 3:42 am
So last week was Christmas for me as this fake Schedule TO about a $8 billion takeover bid caused a stir and caused Avon’s stock to tank (see this DealBook piece). [read post]
9 Jun 2011, 5:00 am
Sources: SEC enters cease and desist order in connection with online campaign to buy beer company - SEC press release SEC Administrative Order Against Michael Migliozzi II and Brian William Flatow (.pdf) Former Pabst execs bitter about shift in philosophy under new owners by Julie Wernau in the Chicago Tribune Pabst Brewing Sells Itself to Metropoulos in Dealbook Let's hear it for hipster beer by Beth Kowitt in CNN Money .com [read post]
18 Nov 2016, 3:21 am
Yesterday, as noted in this DealBook article, it was announced that JPMorgan Chase agreed to pay more than $264 million in FCPA sanctions resulting from the firm’s referral hiring practices – the regulatory breakdown is $130 million to settle SEC charges; $72 million to the DOJ and $61.9 million to the Federal Reserve… Cybersecurity: NIST’s New Small Business Guidance Following it’s widely-followed 2014 framework for larger companies, NIST has finally issued… [read post]
6 Jun 2012, 4:59 am
Morris in the NYTimes.com’s DealBook Letter from the Illinois State Board of Retirement to Invesco (.pdf) from the Wall Street Journal Zombie image is from the Centers for Disease Control and Prevention, part of the United States Department of Health and Human Services [read post]
14 May 2013, 4:28 am
And here's a DealBook article. [read post]
21 Oct 2011, 2:00 am
1) DealBook: The Late Mover Advantage in Citigroup’s Settlement – This week the SEC announced a $235 million settlement with Citigroup over a subsidiary misleading investors about a $1 billion CDO tied to the U.S. housing market in which Citigroup bet against investors as the housing market showed signs of distress. [read post]
25 Apr 2014, 3:51 am
Also see this DealBook piece and this article. [read post]
12 Apr 2010, 7:13 am
Warren built on that prediction in a recent interview with CNBC, the New York Times DealBook blog reported March 30. [read post]
15 Apr 2011, 7:00 am
1) DealBook: Why Insider Trading is Wrong - With all of the major insider trading news breaking in recent months, few have actually sat back and asked, what’s the big deal anyway? [read post]
9 Feb 2015, 4:01 am
Since then, there has been some backlash starting off with this dissent from SEC Commissioners Aguilar and Stein (which was issued about a week after the SEC’s order) and more, as noted in this blog – and this WSJ article and DealBook column… SEC Approves PCAOB Budget Last week, the SEC approved the 2015 budget of the PCAOB and the related annual accounting support fee. [read post]
1 Sep 2011, 10:20 pm
The DOJ is moving to block AT&T's merger with T-Mobile, as reported by the Dealbook blog of the New York Times. [read post]
6 Jan 2012, 2:00 am
Highlights include diversifying the financial industry with women and minorities, a controversial appointment to the new consumer watchdog bureau, and the use of social media to commit securities fraud. 1) DealBook: A New Diversity Monitor for the S.E.C. - A provision in Dodd-Frank called for bringing more women and minorities to the world of finance, with a mandate to create diversity-monitoring offices at various regulatory agencies. [read post]
20 Jan 2012, 2:32 pm
Exhibit E: DEALBOOK; Royal Bank of Scotland Plans to Cut 3,500 Jobs and Sell Assets Exhibit F: MetLife Will Layoff As Many As 4,300 Employees, Closing Mortgage Unit Exhibit G: The Dawn of Lower Pay on Wall St. [read post]
16 Sep 2011, 2:00 am
Two of his main points are that the SEC needs to hire more economists and give them increased authority in the enforcement and the rule-making process and the Agency’s mission should include an explicit requirement that it consider the effect of new rules on the state based system of business entity formation. 2) DealBook: The Merrill Lynch and Lehman Deals, 3 Years Later – It’s hard to believe that it has already been 3 years since that fateful September weekend… [read post]
10 Nov 2011, 11:14 pm
The Dealbook New York Times round-up can be found here. [read post]
31 Aug 2021, 8:37 am
The firms state that more than 1,000 SPAC IPOs have been reviewed by SEC staff over two decades and have not been deemed to be subject to the ICA.According to New York Times Dealbook, the joint statement was organized by Kirkland & Ellis, one of the top legal advisers to SPACs. [read post]
1 Dec 2022, 12:40 am
"Said Sam Bankman-Fried, prompted about whether his lawyers are telling him it's a good idea to be talking and quoted in "Transcript of Sam Bankman-Fried’s Interview at the DealBook Summit/In a discussion with Andrew Ross Sorkin of The New York Times, Sam Bankman-Fried blamed 'huge management failures' and sloppy accounting for the collapse of the FTX cryptocurrency exchange" (NYT).He says he's not focusing on his own liability: "There’s… [read post]
