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18 Apr 2018, 1:33 pm by Adam Feldman
Securities and Exchange Commission, which will be argued next week. [read post]
21 Dec 2016, 7:19 am by Paul Lyons
Securities and Exchange Commission’s whistleblower program hit several milestones over the course of 2016, including their first stand-alone action against a company for whistleblower retaliation. [read post]
6 Jan 2015, 4:14 am by Kevin LaCroix
As noted here, the company is already the target of a Federal Trade Commission enforcement action in connection with the breaches. [read post]
10 Jun 2016, 6:15 am
Securities & Exchange Commission, on Friday, June 3, 2016 Tags: Audit trail, Capital formation, Capital markets, Disclosure, Dodd-Frank Act, Equity capital, Investor protection, JOBS Act, Regulation NMS, SEC, SEC rulemaking, Securities regulation, Small firms, Transparency Delaware Court of Chancery Appraises Fully-Shopped Company at Nearly 30% Over Merger Price Posted by Martin Lipton and Theodore N. [read post]
4 Oct 2021, 2:32 pm by Kevin LaCroix
Securities and Exchange Commission (“SEC”) recently assessed Pearson plc (“Pearson”) with a $1 million penalty for allegedly making material statements and omissions concerning its disclosure of a cybersecurity breach. [read post]
12 Jun 2009, 10:49 am
Issue:  Whether the Securities and Exchange Commission’s new Rule 16b-3, exempting from disgorgement those short-swing profits realized from an insider’s acquisition of securities from the insider’s own company - is a lawful interpretation of Section 16(b) of the Securities Exchange Act of 1934 and whether it can apply retroactively where it serves to clarify an ambiguity in a prior version of the rule. … [read post]
23 Nov 2022, 5:04 pm
  In this case, those tropes touch on human rights, sustainability, national security, and the protection of vital global economic corridors. [read post]
This post provides an overview of shareholder proposals submitted to public companies during the 2022 proxy season,[1] including statistics and notable decisions from the staff (the “Staff”) of the Securities and Exchange Commission (the “SEC”) on no-action requests.[2] I. [read post]
19 May 2008, 7:09 am
Forbes, former board chairman of Cendant Corp., challenging his conviction for criminal conspiracy and making false statements to the Securities and Exchange Commission. [read post]
10 Jan 2008, 12:31 am
DISTRICT COURTSOUTHERN DISTRICT OF NEW YORKBusiness LawSEC's Complaint Specifically Pleaded Each Element Of Securities Fraud Claims Against Company, OfficersSecurities and Exchange Commission v. [read post]
5 Apr 2009, 1:26 pm
In December 2008, after the Securities and Exchange Commission (”SEC”) concurred in the exclusion of shareholder proposals seeking greater disclosure of risks related to mortgage investments at Washington Mutual, a coalition of over 60 investors called on then President-Elect Obama to limit the ability of companies to exclude shareholder proposals related to corporate risk evaluation.[10] The corporate governance challenges for the companies being… [read post]
14 Jan 2020, 12:47 pm by Ronald Mann
Laid on top of those considerations is the obligation eventually to disclose that information to the public markets under the securities laws. [read post]
24 Sep 2019, 6:11 am by Tinker Ready
And on Monday, Senator Chuck Grassley (R-IA), introduced a bill that advocates say will protect whistleblowers who report financial crimes internally before going to the Securities and Exchange Commission (SEC). [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]