Search for: "Anne Sherry"
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17 Aug 2021, 11:43 am
By Anne Sherry, J.D.Calling out the SPAC business model as inherently conflicted, an investor in a blank-check company brought a class-action lawsuit in the Delaware Court of Chancery to enjoin an upcoming vote that he says violates Delaware corporate governance law. [read post]
3 Mar 2023, 6:56 am
By Anne Sherry, J.D.Majority-supported environmental, social, and governance shareholder proposals are still rare, representing less than a tenth of overall ESG proposals, but their prevalence is growing. [read post]
5 May 2023, 9:40 am
By Anne Sherry, J.D.Two claimants that blew the whistle on a massive fraud at Life Partners Holdings are challenging an SEC order calculating the maximum whistleblower award at $32,000. [read post]
21 Nov 2023, 6:02 am
By Anne Sherry, J.D.The SEC adopted new rules regarding the governance of registered clearing agencies. [read post]
27 Aug 2019, 5:54 am
By Anne Sherry, J.D. [read post]
17 Mar 2020, 9:28 am
By Anne Sherry, J.D.SEC staff published guidance on the upcoming proxy season given coronavirus-related issues that may make in-person meetings impracticable and preclude travel by participants, including shareholder proponents. [read post]
8 Oct 2021, 8:07 am
By Anne Sherry, J.D.In a rare look at a process that is usually anonymous and confidential, 60 Minutes published some of the complaints filed with the SEC by Facebook whistleblower Frances Haugen. [read post]
4 May 2022, 7:32 am
By Anne Sherry, J.D.Virtually all the companies that voluntarily reported their diversity practices to the SEC Office of Minority and Women Inclusion (OMWI) consider diversity and inclusion in their recruiting practices, according to a report newly published by the SEC. [read post]
29 Nov 2016, 5:00 am
By Anne Sherry, J.D.A general release foreclosed an investor’s suit over Clear Channel Outdoor Holdings’ continued entanglement with its former parent, iHeart Communications. [read post]
16 Mar 2022, 6:14 am
By Anne Sherry, J.D.Continuing the debate over administrative law judge constitutionality, the SEC has asked the Supreme Court to decide whether respondents in administrative proceedings can challenge ALJ validity in district courts, or whether (as the SEC argues) the Exchange Act restricts such challenges to the appellate courts. [read post]
6 Apr 2022, 7:06 am
By Anne Sherry, J.D.In opening remarks at the SEC’s Small Business Forum, Martha Miller, the Advocate for Small Business Capital Formation, spoke on the need to rethink rather than remain mired in the same ideas about fixing capital-raising policy. [read post]
20 Oct 2021, 8:20 am
By Anne Sherry, J.D.The latest Corporate Directors Survey from PricewaterhouseCoopers finds that boards are significantly more receptive to ESG issues compared to their attitudes just a year ago. [read post]
20 Jul 2022, 6:35 am
By Anne Sherry, J.D.The North American Securities Administrators Association is requesting public comment on four proposed revisions to its guidelines on real estate investment trusts. [read post]
18 Mar 2022, 7:45 am
By Anne Sherry, J.D.A group of eight U.S. [read post]
9 Jun 2020, 8:09 am
By Anne Sherry, J.D.Nasdaq has proposed changes to three rules that would shore up listing and governance requirements for issuers that primarily operate in a jurisdiction that has secrecy laws, blocking statutes, national security laws, or similar restrictions on access by U.S. regulators. [read post]
14 Aug 2020, 7:15 am
By Anne Sherry, J.D.SIFMA urged the SEC to allow brokerage firms to conduct branch inspections remotely in consideration of the COVID-19 pandemic. [read post]
1 Jun 2020, 12:37 pm
By Anne Sherry, J.D.The SEC’s Division of Investment Management reversed its decade-long position against funds’ use of control share statutes to prevent hostile takeovers. [read post]
13 Apr 2015, 6:01 am
By Anne Sherry, J.D.In an allegedly fraudulent stock sale, the plaintiff’s provision of consideration in the form of its own NASDAQ-listed securities was enough of a domestic nexus to overcome the Morrison hurdle, at least in the Ninth Circuit. [read post]
20 Feb 2024, 6:24 am
By Anne Sherry, J.D.A New Hampshire Senate committee voted last week to recommend against an anti-ESG bill. [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]
