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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]
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]
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]
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]
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]
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]
12 Oct 2016, 12:12 pm by Jonathan H. Adler
Examples of independent agencies include well-known bodies such as the Federal Communications Commission, the Securities and Exchange Commission, the Federal Trade Commission, the National Labor Relations Board, and the Federal Energy Regulatory Commission. [read post]
29 Dec 2016, 3:42 am by Broc Romanek
Here’s this WSJ article by Dave Michaels: A federal appeals court dealt a strong blow to Wall Street’s top cop this week, deciding that the Securities and Exchange Commission’s in-house courts don’t meet constitutional requirements. [read post]
11 Jun 2017, 9:05 pm by Walter Olson
” [Veronique de Rugy, more] Tags: Dodd-Frank, FATCA, Foreign Corrupt Practices Act, Securities and Exchange Commission, statutes of limitations, Supreme Court Banking and finance roundup is a post from Overlawyered - Chronicling the high cost of our legal system [read post]
29 Jul 2011, 1:28 am by admin
In yet another blow to the Securities and Exchange Commission’s rulemaking efforts, the U.S. [read post]