Search for: "Herren v State"
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27 Jun 2023, 9:01 pm
Congress has been very clear in the federal securities laws when it intends to preempt state law, such as in the National Securities Markets Improvement Act[44] or the Jumpstart Our Business Startups Act.[45] Indeed, such a broad claim of Commission authority might raise issues under the major questions doctrine discussed in West Virginia v. [read post]
10 Apr 2023, 9:01 pm
” The report suggests these concerns may derive from three different qualities of sustainable business information and reporting: control v. influence; quantitative v. qualitative; and historical v. forward-looking. [read post]
1 Feb 2023, 9:01 pm
Before 1929, all securities markets in the United States were private and thus, dark. [read post]
24 Aug 2022, 9:01 pm
On March 4, 2021, then-acting SEC Chair, Allison Herren Lee was the first to act among federal regulators when she announced the creation of a new Climate and ESG Task Force in the SEC Division of Enforcement, with the stated purpose of developing “initiatives to proactively identify ESG-related misconduct. [read post]
15 Oct 2021, 6:18 am
White (Vanderbilt University), on Friday, October 8, 2021 Tags: Capital allocation, Executive Compensation, Liquidity, Market conditions, Repurchases, Shareholder value SEC Form 10-K Comments Regarding Climate-Related Disclosures Posted by Brian V. [read post]
2 Jul 2021, 5:59 am
Carlin, and Sabastian V. [read post]
21 Apr 2021, 4:39 pm
As Acting Chair Allison Herren Lee stated in a March 15 speech on the subject: That supposed distinction — between what’s “good” and what’s profitable, between what’s sustainable environmentally and what’s sustainable economically, between acting in pursuit of the public interest and acting to maximize the bottom line — is increasingly diminished. [read post]
31 Mar 2021, 3:02 am
See United States v. [read post]
19 Mar 2021, 6:08 am
Robert Brown, Public Company Accounting Oversight Board, on Friday, March 12, 2021 Tags: Accountability, Accounting, Accounting standards, Audits, Bebchuk v. [read post]
7 Feb 2021, 7:12 am
Silk, Sabastian V. [read post]
5 Feb 2021, 10:33 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5687/securities-industry-commentator/SEC Suspends Trading in Inactive Issuer Touted on Social Media (SEC Release)Statement of Acting Chair Allison Herren Lee on Contingent Settlement Offers (SEC Release)Amazon seller blasts the company's forced arbitration policy in congressional hearing on antitrust (CNBC by Lauren Feiner and Annie… [read post]
8 Jan 2021, 5:52 am
(Columbia University), on Wednesday, January 6, 2021 Tags: Anti-corruption, Corporate crime, FCPA, Incentives, Management, Misconduct, Non-prosecution agreement, Securities enforcement, Whistleblowers Another Year of Virtual Shareholder Meetings Posted by Brian V. [read post]
4 Jan 2021, 1:26 pm
(Please note that these filing figures represent federal court filings only; the figures do not include separate state court class action lawsuit filings.) [read post]
9 Nov 2020, 3:00 am
Disclosure: Prescriptive v. [read post]
8 Oct 2020, 3:03 am
Commissioners Allison Herren Lee and Caroline A. [read post]
26 Sep 2019, 11:10 pm
Newville and Alexandra V. [read post]
21 Sep 2012, 4:03 am
Herren, 2011 WL 4436128 (Tenn. [read post]
20 Sep 2012, 8:45 am
Herren, 2011 WL 4436128 (Tenn. [read post]
