Search for: "Anne Sherry"
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17 Dec 2020, 6:00 am
By Anne Sherry, J.D.SEC Commissioner Hester Peirce dissented from the Commission’s approval of a FINRA rule filing allowing it to take steps to address the hiring of brokers with a history of misconduct. [read post]
15 Apr 2019, 9:30 pm
Sherri Finkbine Flew to Sweden: Abortion and Disability in the Early 1960sLena Lennerhed2. [read post]
22 Nov 2023, 6:19 am
By Anne Sherry, J.D.Beginning next month, public companies will be required to disclose material cyber incidents within four business days. [read post]
12 Oct 2016, 5:00 am
By Anne Sherry, J.D. [read post]
12 May 2015, 8:07 am
By Anne Sherry, J.D.The Investment Industry Regulatory Organization of Canada (IIROC) has concluded that the dark pool liquidity framework it put into place in 2012 has met its objectives with minimal impact to market quality. [read post]
24 Feb 2020, 6:41 am
By Anne Sherry, J.D.The SEC and DOJ announced that Wells Fargo will pay $3 billion to settle claims relating to its "fake accounts" scandal. [read post]
11 Mar 2021, 6:07 am
By Anne Sherry, J.D.SEC Commissioner Caroline Crenshaw offered her thoughts on enforcement in an address to the Council of Institutional Investors. [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]
4 Jan 2019, 5:00 am
By Anne Sherry, J.D.The Delaware Court of Chancery ruled that while an action to determine board composition under Section 225 is narrow in scope, the court may consider allegations of inequitable conduct to the extent germane. [read post]
11 Aug 2020, 8:29 am
By Anne Sherry, J.D.McDonald’s Corporation filed suit in Delaware state court to recover severance it paid to former CEO Steve Easterbrook after it fired him "without cause" due to his inappropriate relationship with an employee. [read post]
20 Dec 2022, 6:22 am
By Anne Sherry, J.D.The PCAOB determined that for the first time in its history, it has complete access to inspect and investigate audit firms headquartered in mainland China and Hong Kong. [read post]
29 Jun 2018, 6:00 am
By Anne Sherry, J.D.As it promised it would do earlier in the month, the SEC has published the first “bedbug” letter on EDGAR. [read post]
21 Apr 2023, 7:33 am
By Anne Sherry, J.D.In a keynote address at the NASAA 2023 Public Policy Symposium, SEC Commissioner Jaime Lizárraga emphasized some areas of common ground between federal and state securities regulators: the need to promote capital formation and protect investors, all with relatively limited resources. [read post]
20 Jan 2017, 7:54 am
By Anne Sherry, J.D.A shareholder failed to make the case that Mattel wrongfully refused to attempt to recover $11.5 million in severance and consulting payments from its former chairman and CEO. [read post]
8 Jun 2015, 5:12 am
By Anne Sherry, J.D.An investment adviser and its co-owners were let off the hook for receiving undisclosed servicing fee payments tied to particular mutual funds. [read post]
15 Oct 2020, 6:06 am
By Anne Sherry, J.D.PCAOB member J. [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]
31 Dec 2015, 8:19 am
By Anne Sherry, J.D.A dispute over the meaning of “wholly owned subsidiary” in Regulation S-X defeated Caesars Casino noteholders’ attempt at summary judgment. [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]
5 Jul 2016, 5:00 am
By Anne Sherry, J.D.SIFMA, the Chamber of Commerce, and the National Venture Capital Association are urging the Supreme Court to decide whether states retain concurrent jurisdiction over Securities Act class actions. [read post]
