Search for: "Matthew Garza"
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15 Jul 2022, 8:30 am
., Matthew Garza, J.D., and Lene Powell, J.D.Wolters Kluwer experts explain a rising anti-ESG backlash, including new laws prohibiting discrimination against fossil fuels and firearms businesses, threatened penalties for companies providing employee assistance for abortions, and Florida’s “Stop WOKE Act” that puts corporate diversity efforts squarely in the crosshairs.Legal analysts Brad Rosen, Matthew Garza, and Lene Powell explore the new… [read post]
20 Dec 2021, 11:34 am
By Matthew Garza, J.D., Mark S. [read post]
9 Nov 2015, 5:03 am
By Matthew Garza, J.D.Laurie Bebo was denied rehearing of her federal case challenging the constitutionality of the SEC’s administrative enforcement regime in a brief order issued by the Seventh Circuit. [read post]
11 May 2015, 8:56 am
By Matthew Garza, J.D. [read post]
14 Nov 2023, 7:27 am
By Matthew Garza, J.D.As smaller companies prepare to comply with the federal Corporate Transparency Act (CTA), businesses in New York will also have to contend with the LLC Transparency Act, which would amend New York’s Limited Liability Company Law and the New York Executive Law to require disclosure of beneficial ownership of LLCs. [read post]
22 Sep 2015, 8:28 am
By Matthew Garza, J.D. [read post]
3 Jun 2021, 11:22 am
By Matthew Garza, J.D.How can law firms that serve corporate clients take advantage of post-pandemic opportunities, which appear to be picking up along with the rest of the economy, without running afoul of tight budgets and high expectations? [read post]
17 Sep 2014, 7:54 pm
[This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.The SEC and the U.S. [read post]
23 Sep 2022, 7:30 am
., Brad Rosen, J.D. and Matthew Garza, J.D.In remarks in May SEC Chair Gensler acknowledged that measures of the size of the environmental, social, and governance (ESG) investment sector vary, then repeated an estimate from industry association US SIF that put the “U.S. sustainable investment universe” at $17.1 trillion. [read post]
1 Nov 2010, 11:44 am
Garza in San Antonio. [read post]
25 Nov 2015, 9:41 am
The battery exploded while in the pants pockets of Iversen and Phillips, and Garza’s exploded in his face as he used it. [read post]
1 Apr 2015, 5:57 am
[This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.A shareholder proposal, which requests that the management of Caterpillar Inc. review its policies related to human rights to assess areas in which the company may need to adopt and implement additional policies, and report its findings, may not be excluded from the company's proxy materials under Rule 14a-8(i)(10). [read post]
18 Aug 2014, 2:00 pm
[This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.A Ford investor was unable to convince a Third Circuit panel that the auto maker or an investment trust it created violated Exchange Act Rule 10b-17 through the timing of its announcement of payments to the trust (Gold v. [read post]
31 Dec 2014, 12:08 pm
[This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.The SEC announced that it has launched a pilot program to provide bulk data to facilitate investor research. [read post]
7 Oct 2016, 8:58 am
The past week was marked by Hurricane Matthew killing hundreds in Haiti and hitting Florida. [read post]
16 Jul 2015, 5:47 am
By Matthew Garza, J.D.NASAA has expressed disappointment with a re-proposed FINRA rule that softened disclosure requirements for brokers that transfer retail customer accounts to a new firm. [read post]
22 Dec 2015, 5:00 am
By Matthew Garza, J.D.Senators Jack Reed (D-RI) and Susan Collins (R-ME) have introduced a bill that would force publicly traded companies to disclose whether any member of their board of directors is a cybersecurity expert, and if not, why having such expertise on the board is unnecessary. [read post]
28 May 2015, 6:07 am
By Matthew Garza, J.D.Massachusetts and Montana have filed petitions for court review of Regulation A+, adopted unanimously by the SEC on March 25 to raise the dollar limit for smaller offerings that are exempt from Securities Act registration. [read post]
29 Jan 2016, 11:54 am
By Matthew Garza, J.D.The SEC has ordered a New York investment adviser and its Toronto-based manager to return $2.877 million to investors after finding that the manager lied about the performance of the fund and deviated from the fund’s established strategy by plowing most of investor funds into a single penny stock. [read post]
20 Oct 2015, 3:21 am
By Matthew Garza, J.D.In light of the Supreme Court’s recent denial of certiorari in the insider trading criminal case against Todd Newman and Anthony Chiasson, attorneys for the pair have filed for summary judgment in the SEC’s 2012 civil suit. [read post]
