Statement on the SEC’s Issuance of Certain Exemptive Orders Related to Rule...
Posted by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission, on Tuesday, January 14, 2014 Editor's Note: Luis A. Aguilar is a Commissioner at the U.S. Securities and Exchange...
View ArticleRegulation A+ Offerings—A New Era at the SEC
Posted by Noam Noked, co-editor, HLS Forum on Corporate Governance and Financial Regulation, on Wednesday, January 15, 2014 Editor's Note: The following post comes to us from Samuel S. Guzik, founder...
View ArticleUpdate on the Halliburton Fraud-on-the-Market Case
Posted by John F. Savarese & George Conway, Wachtell, Lipton, Rosen & Katz, on Wednesday, January 15, 2014 Editor's Note: John F. Savarese and George Conway are partners in the Litigation...
View ArticleNo Magic Bullet in Post-Credit Crisis Investment Litigation
Posted by Noam Noked, co-editor, HLS Forum on Corporate Governance and Financial Regulation, on Saturday, January 18, 2014 Editor's Note: The following post comes to us from Jason M. Halper, partner at...
View ArticleSEC Staff Issues Further Guidance on the Proxy “Unbundling” Rule
Posted by Kobi Kastiel, Co-editor, HLS Forum on Corporate Governance and Financial Regulation, on Wednesday, February 5, 2014 Editor's Note: The following post comes to us from Phillip R. Mills,...
View ArticleSupreme Court Hears Arguments in Halliburton
Posted by Robert Giuffra, Sullivan & Cromwell LLP, on Saturday, March 15, 2014 Editor's Note: Robert Giuffra is a partner in Sullivan & Cromwell’s Litigation Group. The following post is based...
View ArticleSpin-Off and Listing by Introduction of Feishang Anthracite Resources Limited
Posted by Noam Noked, co-editor, HLS Forum on Corporate Governance and Financial Regulation, on Friday, March 21, 2014 Editor's Note: The following post comes to us from Sullivan & Cromwell LLP,...
View ArticleThe Changing Regulatory Landscape for Angel Investing
Posted by Keith F. Higgins, U.S. Securities and Exchange Commission, on Monday, April 21, 2014 Editor's Note: Keith F. Higgins is Director of the Division of Corporation Finance at the U.S. Securities...
View ArticleCourt of Appeals Invalidates Part of SEC’s Conflict Minerals Rule
Posted by Noam Noked, co-editor, HLS Forum on Corporate Governance and Financial Regulation, on Saturday, May 17, 2014 Editor's Note: The following post comes to us from Yafit Cohn, Associate at...
View ArticleIncreased Scrutiny of High-Frequency Trading
Posted by Noam Noked, co-editor, HLS Forum on Corporate Governance and Financial Regulation, on Friday, May 23, 2014 Editor's Note: The following post comes to us from Matthew Rossi, partner in the...
View ArticleLiabilities Under the Federal Securities Laws
Posted by Paul Vizcarrondo, Wachtell, Lipton, Rosen & Katz, on Saturday, September 13, 2014 Editor's Note: Paul Vizcarrondo is a partner in the Litigation Department of Wachtell, Lipton, Rosen...
View ArticleSuccessful Motions to Dismiss Securities Class Actions in 2014
Posted by Kobi Kastiel, Co-editor, HLS Forum on Corporate Governance and Financial Regulation, on Sunday, November 23, 2014 Editor's Note: The following post comes to us from Jon N. Eisenberg, partner...
View ArticleSEC Proposes Increased Thresholds for Exchange Act Registration
Posted by David S. Huntington, Paul, Weiss, Rifkind, Wharton & Garrison LLP, on Sunday, February 1, 2015 Editor's Note: David Huntington is a partner in the Capital Markets and Securities Group at...
View ArticleImplications of the SEC’s Plans to Amend Rule 15b9-1
Posted by Annette L. Nazareth, Davis Polk & Wardwell LLP, on Saturday, April 4, 2015 Editor's Note: Annette Nazareth is a partner in the Financial Institutions Group at Davis Polk & Wardwell...
View ArticleExpanding Oversight: SEC Proposes Amendments to Rule 15b9-1
Posted by Yaron Nili, Co-editor, HLS Forum on Corporate Governance and Financial Regulation, on Wednesday, April 22, 2015 Editor's Note: The following post comes to us from Andre E. Owens, partner in...
View ArticleDC Circuit Vacates SEC’s Application of Dodd-Frank Provision
Posted by Darrell S. Cafasso, Sullivan & Cromwell LLP, on Sunday, August 2, 2015 Editor's Note: Darrell S. Cafasso is a partner in the Litigation Group at Sullivan & Cromwell LLP. This post is...
View ArticleA Registration Framework for the Derivatives Market
Posted by Luis A. Aguilar, U.S. Securities and Exchange Commission, on Wednesday, August 12, 2015 Editor's Note: Luis A. Aguilar is a Commissioner at the U.S. Securities and Exchange Commission. This...
View ArticleCircuit Split on Dodd-Frank Act Whistleblower Provision
Posted by Aaron M. Katz and Eva Ciko Carman, Ropes & Gray LLP, on Wednesday, September 16, 2015 Editor's Note: Aaron M. Katz and Eva Ciko Carman are partners at Ropes & Gray LLP. This post is...
View ArticleTitle VII and Security-Based Swaps
Posted by Robert W. Reeder III and Dennis C. Sullivan, Sullivan & Cromwell LLP, on Sunday, September 20, 2015 Editor's Note: Robert W. Reeder III and Dennis C. Sullivan are partners at Sullivan...
View ArticleSEC Interpretation of “Whistleblower” Definition
Posted by Nicholas S. Goldin, Simpson Thacher & Bartlett LLP, on Sunday, October 4, 2015 Editor's Note: Nicholas S. Goldin is a partner at Simpson Thacher & Bartlett LLP. This post is based on...
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