Search for: "Anne Sherry"
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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]
24 Jan 2023, 5:00 am
By Anne Sherry, J.D.A former employee of UBS who lost a retaliation suit under Sarbanes-Oxley is appealing to the Supreme Court. [read post]
11 Jan 2023, 11:33 am
Rev. 197, 228 (2017); see Ann Woolhandler & Caleb Nelson, Does History Defeat Standing Doctrine, 102 Mich. [read post]
11 Jan 2023, 6:57 am
By Anne Sherry, J.D.The Municipal Securities Rulemaking Board published its criteria for designating participants in business continuity and disaster recovery testing. [read post]
6 Jan 2023, 9:28 am
By Anne Sherry, J.D.The First Circuit affirmed a victory for the SEC against a hedge fund adviser charged with conducting a short-and-distort scheme. [read post]
29 Dec 2022, 9:50 am
By Anne Sherry, J.D.PCAOB Chair Erica Y. [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]
5 Dec 2022, 5:16 am
By Anne Sherry, J.D.The Principles for Responsible Investment launched a collaborative initiative on social issues and human rights. [read post]
29 Nov 2022, 6:51 am
By Anne Sherry, J.D.Two manufacturing groups are asking the SEC to amend Rule 15c2-11 to expressly exempt fixed-income securities that satisfy the requirements of Rule 144A. [read post]
14 Nov 2022, 5:10 am
By Anne Sherry, J.D.The SEC filed settled charges against a California-based real estate company for conducting an unregistered offering for a fund it manages. [read post]
10 Nov 2022, 12:42 pm
As far as I can tell, there was some good, quite a bit of bad, and loads of indifferent.On the good side, Rene Gonzalez ushered Jo Ann Hardesty out of Portland City Hall. [read post]
8 Nov 2022, 6:42 am
By Anne Sherry, J.D.In supplemental comments on the SEC’s proposed climate-related disclosures, the U.S. [read post]
4 Nov 2022, 8:09 am
By Anne Sherry, J.D.An executive was on notice, objectively if not subjectively, that his power to direct voting of shares owned by other entities amounted to beneficial ownership. [read post]
25 Oct 2022, 6:15 am
By Anne Sherry, J.D.SEC Administrative Law Judge proceedings remain in limbo as the Fifth Circuit opted not to rehear a pivotal case striking down the SEC’s use of the in-house proceedings to adjudicate fraud actions. [read post]
19 Oct 2022, 6:20 am
By Anne Sherry, J.D.In remarks to open a recent meeting of the Small Business Capital Formation Advisory Committee, SEC Commissioner Mark Uyeda expressed concerns about the impacts of reporting and disclosure requirements for public companies. [read post]
17 Oct 2022, 7:09 am
By Anne Sherry, J.D.A Singapore-based company and its CEO are asking the U.S. [read post]
28 Sep 2022, 8:27 am
By Anne Sherry, J.D.NASAA is seeking comment on a proposal to require issuers to file proxy solicitation materials with the applicable state regulators within two business days after filing such materials with the SEC. [read post]
26 Sep 2022, 6:26 am
By Anne Sherry, J.D.A whistleblower who alerted the SEC to misconduct at Citigroup must share a $27 million award with a colleague. [read post]
20 Sep 2022, 7:13 am
By Anne Sherry, J.D.Expressing concerns about the CFTC’s routine acceptance of neither-admit-nor-deny settlements, Commissioner Christy Goldsmith Romero proposed a test for assessing whether the Commission should require an admission of wrongdoing. [read post]
12 Sep 2022, 8:44 am
By Anne Sherry, J.D.After warning the Starbucks board that its diversity, equity and inclusion (DEI) policies were discriminatory, the American Civil Rights Project is suing Starbucks officers and directors on behalf of a shareholder. [read post]
