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22 Feb 2023, 3:30 am
As I noted in the blog earlier this month, SEC Commissioner Caroline Crenshaw recently gave a speech at the Northwestern Securities Regulation Institute during which she noted several areas of concern with Regulation D, and back in 2021, then Commissioner Allison Herren Lee gave speech at SEC Speaks outlining concerns with the growth of private markets and suggesting that the Commission revisit the definition of “held of record” in Exchange Act Rule 12g5-1. [read post]
7 Aug 2009, 1:02 pm
Caroline Nyenke and LaRue Robinson 2. [read post]
26 May 2021, 8:42 am
"However, Commissioners Allison Herren Lee and Caroline Crenshaw jointly expressed concerns about how the NYSE proposal would evolve the IPO process away from traditional, firm-commitment underwritten IPOs. [read post]
22 Jun 2020, 3:03 am
If Jay departs after Caroline is confirmed, that would return the number of Commissioners to four – and they might split 2-2 in their decision-making, with Commissioners Roisman and Peirce taking one view and Commissioners Lee and Crenshaw taking another. [read post]
21 Jul 2014, 11:00 am
David Egilman, Tess Bird[1], and Caroline Lee[2], “Dust diseases and the legacy of corporate manipulation of science and law, 20 Internat’l J. [read post]
18 Jan 2021, 11:30 am
These concerns were voiced by Democratic SEC Commissioners Allison Lee and Caroline Crenshaw in their dissenting opinions on last year’s vote on rule changes to the program. [read post]
18 Jan 2021, 11:30 am
These concerns were voiced by Democratic SEC Commissioners Allison Lee and Caroline Crenshaw in their dissenting opinions on last year’s vote on rule changes to the program. [read post]
29 Jan 2021, 3:21 pm
On January 29, Acting SEC Chair Allison Lee and SEC Commissioners Hester Peirce, Elad Roisman, and Caroline Crenshaw released a statement regarding the recent market volatility. [read post]
19 Mar 2021, 6:08 am
Yust (Texas A&M University), on Thursday, March 18, 2021 Tags: Accounting, Corporate fraud, Misconduct, Oversight, SEC enforcement, Securities enforcement, Securities fraud Speech by Acting Chair Lee on the Importance of Fund Voting and Disclosure Posted by Allison Herren Lee, U.S. [read post]
27 Aug 2020, 3:03 am
The Commission adopted the amendments by a 3-2 vote – Commissioners Allison Herren Lee and Caroline Crenshaw dissented. [read post]
18 Nov 2021, 6:10 am
Commissioner Caroline Crenshaw observed that few shareholders attend a corporation’s annual meeting in-person to vote, and stated that the rule achieves uniformity, fairness, and efficiency. [read post]
12 Mar 2022, 7:37 am
But, surprisingly, the conflicts are not between the Dems and the one Republican remaining on the SEC; rather, they’re reportedly between SEC Chair Gary Gensler and the two other Democratic commissioners, Allison Herren Lee and Caroline Crenshaw, about how far to push the proposed new disclosure requirements, especially in light of the near certainty of litigation, and whether to require that the disclosures be audited. [read post]
27 Jan 2016, 10:41 am
Ombuds United States Legal Update, presented by Charles Howard and Caroline Adams12. [read post]
8 Jun 2021, 7:10 am
Commissioners Caroline Crenshaw and Allison Herren Lee have also expressed support for shoring up the rules on insider trading plans.Limits on cancelation. [read post]
10 Aug 2021, 9:12 am
The Commission voted 3-2 to approve the Nasdaq rule.SEC Chair Gary Gensler stated that the rules are consistent with the requirements of the Exchange Act, and reflect calls from investors for greater transparency about the people who lead public companies.Commissioners Alison Herren Lee and Caroline Crenshaw supported the rule, calling it "a positive first step for investors" while cautioning there is more work to be done in improving both diversity and transparency at… [read post]
6 Jul 2014, 9:01 pm
Lee Baker is dean of academic affairs at Trinity College. [read post]
8 Jan 2021, 5:52 am
Yaffe, and Caroline S. [read post]
31 Jul 2013, 12:47 pm
” Adam Gershowitz Adele Bernhard Adne Cummings Alex Kreit Alex Landon Alexandra Natapoff Allie Robbins Amy Eldridge Andrea Armstrong Andrea Roth Angela Davis Ann McGinley Anna Roberts Anne Hornsby Anne Poulin Art Leavens Barbara Stark Bennett Capers Beryl Blaustone Bonnie Williams Brian Clarke Brian Gallini Brian Sheppard Bryan Adamson Carlin Meyer Carmen Gonzalez Carol Steiker Caroline Harada Cassandra Robertson Catherine Grosso Catherine Rogers Charles Bobis Charles Nadler… [read post]
23 Oct 2020, 9:53 am
SEC Chairman Clayton and SEC Commissioners Roisman and Peirce also voted to approve the final rule, while Commissioners Lee and Crenshaw dissented. [read post]
8 Oct 2020, 7:11 am
Commissioner Allison Herren Lee, who opposed the proposal, said that claiming that the agency is taking these steps in the name of clarity is misleading because the proposal requires no form of recordkeeping from finders.Two classes of finders. [read post]
