Search for: "Anne Sherry"
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30 Mar 2021, 12:19 pm
By Anne Sherry, J.D.In a new risk alert, staff of the SEC’s Division of Examinations shared their observations from examinations of broker-dealers and mutual funds regarding their compliance with anti-money-laundering (AML) regulatory requirements. [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]
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]
26 Feb 2021, 7:21 am
By Anne Sherry, J.D.As the practice of law evolves, so do the research needs of practitioners and the tools they use to understand clients’ business and legal needs. [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]
26 Jan 2021, 9:41 am
By Anne Sherry, J.D.The full Delaware Supreme Court reversed and remanded a decision of the Court of Chancery dismissing a post-closing challenge to the merger between Enbridge and Spectra Energy Partners. [read post]
13 Jan 2021, 7:13 am
By Anne Sherry, J.D.In a new statement, the SEC’s Office of Municipal Securities encouraged participants in the municipal securities market to mitigate risks in anticipation of the transition away from LIBOR. [read post]
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]
16 Dec 2020, 9:49 am
By Anne Sherry, J.D.The Corporate Transparency Act, Title LXIV of the National Defense Authorization Act, seeks to crack down on "malign actors" by making it more difficult to conceal their ownerships of corporations, LLCs, and similar entities. [read post]
15 Dec 2020, 6:50 am
By Anne Sherry, J.D., Amanda Maine, J.D., Amy Leisinger, J.D., Lene Powell, J.D., Rodney F. [read post]
8 Dec 2020, 9:11 am
By Anne Sherry, J.D.Former Maryland Senator Paul Sarbanes (D-Md), the co-sponsor of the Sarbanes-Oxley Act, has died at the age of 87. [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]
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 Oct 2020, 7:20 am
By Anne Sherry, J.D.The SEC and Kik Interactive came to a settlement over remedies after the Southern District of New York last month ruled that Kik’s sale of Kin tokens constituted an unregistered securities offering. [read post]
15 Oct 2020, 6:06 am
By Anne Sherry, J.D.PCAOB member J. [read post]
2 Oct 2020, 3:00 am
Bid to Drop Prosecution Washington Post – Spencer Hsu and Ann Marimow | Published: 9/29/2020 U.S. [read post]
1 Oct 2020, 12:12 pm
By Anne Sherry, J.D.A derivative plaintiff failed to plead a valid Exchange Act Section 14(a) claim and instead unsuccessfully attempted to "bootstrap" such a claim on state-law allegations of breach of fiduciary duty. [read post]
25 Sep 2020, 7:19 am
By Anne Sherry, J.D.In remarks at a Council of Institutional Investors conference, SEC Commissioner Allison Herren Lee emphasized the need for greater diversity within companies and even the financial regulators. [read post]
15 Sep 2020, 7:03 am
By Anne Sherry, J.D.Investment fund analysts who were convicted of wire fraud for trading on regulatory information are appealing that conviction to the Supreme Court. [read post]
1 Sep 2020, 10:26 am
By Anne Sherry, J.D.The Delaware Court of Chancery determined that neither Cigna nor Anthem was entitled to damages for the other’s breach of a $54 billion merger agreement that would have created the country’s largest health insurer. [read post]
