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1 May 2024, 6:07 am
By Anne Sherry, J.D.The CFTC finalized rules intended to make it easier for swap dealers and major swap participants to comply with financial reporting obligations and demonstrate compliance with minimum capital requirements. [read post]
29 Apr 2024, 9:25 pm
President Anne Arundel Medical Center With a more than 30-year career in the health care industry, Sherry Perkins, Ph.D. [read post]
29 Apr 2024, 5:52 am
By Anne Sherry, J.D.Two crypto industry groups are suing the SEC over the agency’s Dealer Rule, which requires market participants who perform dealer functions to register with the Commission and join FINRA and the SIPC. [read post]
24 Apr 2024, 8:34 am
By Anne Sherry, J.D.At its recent quarterly meeting, the Board of Directors of the Municipal Securities Rulemaking Board advanced several market regulation and market transparency initiatives germane to its strategic plan. [read post]
23 Apr 2024, 6:48 am
By Anne Sherry, J.D.A pair of provisions inspired by Enron’s document destruction have applicability beyond the securities context. [read post]
17 Apr 2024, 1:30 pm
This year’s speakers include: RPLG Founding Partners, Louise Renne, Jonathan Holtzman and Art Hartinger Debra Gill, Renne Public Management Group (RPMG) Consultant and Former Director of Human Resources and Labor Relations at the City of Pleasanton Eli Beckman, City of Corte Madera Mayor Ryan McGinley-Stempel, RPLG Partner Sherri Kaiser, Napa County Chief Deputy County Counsel Amy Ackerman, RPLG Partner and Head of Government Section Vic Sher, Partner and Co-Founder of Sher Edling LLP… [read post]
1 Apr 2024, 6:44 am
By Anne Sherry, J.D.The Southern District of New York dismissed a derivative lawsuit seeking disgorgement of short-swing profits. [read post]
26 Mar 2024, 5:59 am
By Anne Sherry, J.D.The Delaware Supreme Court, sitting en banc, restored a challenge to a squeeze-out merger. [read post]
19 Mar 2024, 5:37 am
By Anne Sherry, J.D.The Fifth Circuit granted a request to stay the SEC’s climate risk disclosure regulation. [read post]
11 Mar 2024, 6:10 am
By Anne Sherry, J.D.A petition for certiorari asks the Supreme Court to resolve two circuit splits concerning pleading scienter based on internal reports. [read post]
28 Feb 2024, 6:41 am
By Anne Sherry, J.D.The Delaware Court of Chancery struck down parts of a stockholder agreement that constrained the board’s authority to act. [read post]
23 Feb 2024, 6:52 am
By Anne Sherry, J.D.A digital assets company and a trade association are challenging the SEC’s assertion of jurisdiction over crypto. [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]
12 Feb 2024, 6:37 am
By Anne Sherry, J.D.Sarbanes-Oxley’s anti-retaliation provision requires whistleblowers to prove that protected activity was a factor in their termination, but they do not have to prove that the employer acted with retaliatory intent. [read post]
29 Jan 2024, 6:50 am
By Anne Sherry, J.D.After Memorial Day weekend, the U.S. securities markets will transition to T+1 settlement, said SEC Chair Gary Gensler in remarks before the European Commission. [read post]
23 Jan 2024, 9:06 am
By Anne Sherry, J.D.Unusually, a company is asking a Texas district court for a declaratory judgment allowing it to exclude a shareholder proposal, rather than proceeding through the SEC’s no-action process. [read post]
16 Jan 2024, 6:35 am
By Anne Sherry, J.D.Comments are in on a proposed rule change that would allow Natural Asset Companies to trade on the NYSE. [read post]
9 Jan 2024, 12:05 pm
Brief for Professors Mary Ann Glendon and O. [read post]
5 Jan 2024, 9:15 am
By Anne Sherry, J.D.Several securities industry associations submitted comments on the Department of Labor’s proposal to update the definition of an investment advice fiduciary under ERISA. [read post]
11 Dec 2023, 7:14 am
By Anne Sherry, J.D.Elon Musk is petitioning the Supreme Court to review an agreement he made to run his tweets by a Tesla attorney before posting them. [read post]
