Search for: "Anne Sherry"
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10 Aug 2023, 5:37 am
By Anne Sherry, J.D.In a letter to SEC Chair Gary Gensler, House Democrats led by Sean Casten (D-Ill), Juan Vargas (D-Cal), and Kathy Castor (D-Fla) urged the Commission to finalize a rule on climate-related disclosure. [read post]
9 Aug 2023, 3:00 am
Code Ann., Cts. [read post]
4 Aug 2023, 11:04 am
By Anne Sherry, J.D.A petition for certiorari questions whether, absent fraud or deception, statements criticizing a public company are sheltered by the First Amendment. [read post]
1 Aug 2023, 6:04 am
By Anne Sherry, J.D.The court of appeals in D.C. has struck down an SEC order directing that contracts based on the SPIKES Index be treated as futures to foster competition with similar futures based on the VIX Index. [read post]
26 Jul 2023, 5:00 am
By Anne Sherry, J.D.The Delaware Court of Chancery has rejected as unreasonable a proposed settlement of a lawsuit challenging AMC’s share class structure. [read post]
24 Jul 2023, 5:29 am
By Anne Sherry, J.D.Delaware’s governor signed into law a series of amendments to the Delaware General Corporation Law. [read post]
13 Jun 2023, 7:09 am
By Anne Sherry, J.D.An attorney settled SEC charges of violating the ’33 and ’34 Acts by helping a public-company chairman sell restricted stock into the markets. [read post]
9 Jun 2023, 8:48 am
By Anne Sherry, J.D.Amendments proposed by the PCAOB would increase auditor vigilance against fraud and other noncompliance with laws and regulations. [read post]
5 Jun 2023, 6:24 am
By Anne Sherry, J.D.The Supreme Court is being asked to review a Second Circuit holding that a failure to make a disclosure required under Regulation S-K Item 303 can support a private claim under Exchange Act Section 10(b), even in the absence of an otherwise misleading statement. [read post]
1 Jun 2023, 5:29 am
By Anne Sherry, J.D.Most Americans between 18 and 25 have some kind of investment, according to a new report from the FINRA Investor Education Foundation and CFA Institute. [read post]
26 May 2023, 8:20 am
By Anne Sherry, J.D.The SEC filed a settled order against Sciens Diversified Managers, LLC, for compliance failures in the area of asset valuation. [read post]
19 May 2023, 8:43 am
By Anne Sherry, J.D.A district court in California overturned a state law that required public companies to achieve board diversity goals for persons from underrepresented communities. [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 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]
19 Apr 2023, 6:34 am
By Anne Sherry, J.D.The North American Securities Administrators Association (NASAA) admitted Guam’s securities regulator to the group and approved two regulatory proposals. [read post]
18 Apr 2023, 8:53 am
By Anne Sherry, J.D.The PCAOB moved to dismiss a district-court action challenging its enforcement regime, arguing that the plaintiff must bring his challenge to the SEC and then to a federal court of appeals. [read post]
5 Apr 2023, 5:42 am
By Anne Sherry, J.D.The district court in Chicago dismissed a derivative suit arising out of the 2015 merger between Kraft Foods and Heinz. [read post]
24 Mar 2023, 9:02 am
By Anne Sherry, J.D.The Chicago-based manager of a family office is asking the Supreme Court to limit FINRA overreach. [read post]
21 Mar 2023, 7:20 am
By Anne Sherry, J.D.Waystar, Inc. had the contractual right to repurchase partnership units from a recently terminated executive, the Delaware Supreme Court held. [read post]
7 Mar 2023, 7:32 am
By Anne Sherry, J.D.When McDonald’s head of human resources—the person specifically charged with promoting a culture of inclusion and respect—repeatedly engaged in sexual harassment, it threw up “the most vibrant of red flags,” the Delaware Court of Chancery observed. [read post]
