Search for: "Katz v. Securities and Exchange Commission"
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30 Nov 2007, 7:33 am
U.S. companies will be allowed once again to exclude proxy access proposals from their corporate ballots, the Securities and Exchange Commission has decided. [read post]
5 Apr 2019, 5:58 am
Pruitt, Jones Day, on Tuesday, April 2, 2019 Tags: Broker-dealers, Conflicts of interest, Disclosure, Investment advisers, Investor protection, Mutual funds, Reporting regulation, Retail investors, SEC, SEC enforcement FCPA and the Commodity Exchange Act: A New Relationship Posted by David Yeres, David DiBari, and Robert Houck, Clifford Chance US LLP, on Tuesday, April 2, 2019 … [read post]
5 Oct 2018, 5:52 am
Securities and Exchange Commission, on Monday, October 1, 2018 Tags: Elon Musk, Misconduct, Rule 10b-5, SEC enforcement, Securities enforcement, Securities fraud, Settlements, Tesla A Tale of Two Earnouts Posted by Gail Weinstein, Brian T. [read post]
17 Jul 2020, 5:52 am
Securities and Exchange Commission (SEC) to establish a task force to determine a robust set of quantifiable and comparable ESG metrics to be disclosed by all public companies. [read post]
19 Jan 2018, 6:30 am
Securities and Exchange Commission, on Saturday, January 13, 2018 Tags: Bonds, Capital markets, Debt securities, Derivatives, Equity securities, Liquidity, Municipal securities, OTC derivatives, Retail investors, SEC, Securities regulation Strict Supervision, Bank Lending and Business Activity Posted by Joao Granja and Christian Leuz (University of Chicago), on Sunday,… [read post]
25 Mar 2022, 5:48 am
Securities and Exchange Commission, on Tuesday, March 22, 2022 Tags: Climate change, Disclosure, Environmental disclosure, ESG, SEC, SEC rulemaking, Securities regulation, Stakeholders, Sustainability The Law and Economics of Equity Swap Disclosure Posted by Lucian A. [read post]
26 Jan 2024, 6:30 am
Securities and Exchange Commission, on Thursday, January 25, 2024 Tags: IPOs, SEC, Shell Companies, SPACs, Special purpose acquisition companies [read post]
26 Jan 2024, 6:30 am
Securities and Exchange Commission, on Thursday, January 25, 2024 Tags: IPOs, SEC, Shell Companies, SPACs, Special purpose acquisition companies [read post]
19 Oct 2018, 6:08 am
Securities and Exchange Commission, on Saturday, October 13, 2018 Tags: Disclosure, information, SEC, Securities regulation, Swaps Statement on Commission Action Regarding Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers Posted by Kara M. [read post]
12 Nov 2021, 6:07 am
Securities and Exchange Commission, on Thursday, November 11, 2021 Tags: Hedge funds, Institutional Investors, Mutual funds, Private equity, Private funds, SEC, SEC rulemaking, Securities regulation, Transparency [read post]
3 Feb 2017, 6:04 am
Securities and Exchange Commission, on Monday, January 30, 2017 Tags: Broker-dealers, Capital formation, Disclosure, Dodd-Frank Act, Financial regulation, Financial technology, Investor protection, JOBS Act, SEC, SEC enforcement, Securities enforcement, Securities regulation The Common Law Corporation: The Power of the Trust in Anglo-American Business History Posted by John D. [read post]
2 Aug 2019, 6:33 am
Norwitz and Sabastian V. [read post]
20 May 2011, 1:56 am
As noted here, in a 2009 opinion in Katz v. [read post]
23 Aug 2019, 6:17 am
Katz, Sabastian V. [read post]
13 Jan 2012, 8:54 am
In SEC v. [read post]
13 Jan 2012, 8:54 am
In SEC v. [read post]
4 Dec 2020, 6:15 am
Securities and Exchange Commission), William D. [read post]
28 Mar 2022, 6:19 am
Silk, Sabastian V. [read post]
28 Oct 2022, 6:32 am
Securities and Exchange Commission. [read post]
24 Aug 2018, 6:06 am
Securities and Exchange Commission, on Wednesday, August 22, 2018 Tags: Broker-dealers, Disclosure, Investment advisers, Investor protection, Retail investors, SEC rulemaking, Securities regulation Board Diversity, Firm Risk, and Corporate Policies Posted by Gennaro Bernile (University of Miami) Vineet Bhagwat (George Washington University), and Scott E. [read post]
