Section 16(B)—If at First You Don’t Succeed…
Posted by Phillip Goldstein, Bulldog Investors, on Wednesday, March 1, 2017 Editor's Note: Phillip Goldstein is the co-founder of Bulldog Investors. If an officer, a director or a large (10% or more)...
View ArticleIs Disgorgement a “Forfeiture” for Statute of Limitations Purposes?
Posted by Jon Eisenberg, K&L Gates LLP, on Tuesday, March 14, 2017 Editor's Note: Jonathan N. Eisenberg is partner in the Government Enforcement practice at K&L Gates LLP. This post is based on...
View ArticleWhat Do the SEC’s Recent Bitcoin Disapproval Orders Really Mean for Investors?
Posted by Wenchi Hu & Vivian A. Maese, Latham & Watkins LLP, on Thursday, April 27, 2017 Editor's Note: Wenchi Hu and Vivian A. Maese are partners at Latham & Watkins LLP. This post is...
View ArticleStuck with Steckman: Why Item 303 Cannot be a Surrogate for Section 11
Posted by Aaron J. Benjamin, Wilson Sonsini Goodrich & Rosati, on Wednesday, May 17, 2017 Editor's Note: Aaron J. Benjamin is an associate at Wilson Sonsini Goodrich & Rosati. This post is...
View ArticleToe Hold Collaborations Beyond Insider Trading
Posted by Mira Ganor, University of Texas at Austin, on Tuesday, June 13, 2017 Editor's Note: Mira Ganor is Professor at the University of Texas at Austin. This post is based on a recent article by...
View ArticleGovernment Leaks Lead to Landmark Insider Trading Case
Posted by Ken Herzinger and Stephanie Albrecht, Orrick, Herrington & Sutcliffe LLP, on Wednesday, June 14, 2017 Editor's Note: Ken Herzinger is Partner and Stephanie Albrecht is Managing Associate...
View ArticleA Practical Guide to Virtual-Only Shareholder Meetings
Posted by Steven M. Haas and Charles L. Brewer, Hunton & Williams LLP , on Friday, November 17, 2017 Editor's Note: Steven M. Haas is a partner and Charles L. Brewer is an associate at Hunton &...
View ArticleVirtual Currencies
Posted by Jay Clayton, U.S. Securities and Exchange Commission, on Wednesday, February 7, 2018 Editor's Note: Jay Clayton is Chairman of the U.S. Securities and Exchange Commission. This post is based...
View ArticleThe SEC and Mandatory Shareholder Arbitration
Posted by Cydney Posner, Cooley LLP, on Thursday, February 22, 2018 Editor's Note: Cydney S. Posner is special counsel at Cooley LLP. This post is based on a Cooley publication by Ms. Posner. Depending...
View ArticleThe Supreme Court and the Scope of Whistleblowing Anti-retaliation Protections
Posted by Cydney Posner, Cooley LLP, on Friday, February 23, 2018 Editor's Note: Cydney S. Posner is special counsel at Cooley LLP. This post is based on a Cooley publication by Ms. Posner. Yesterday...
View ArticleNew NYSE Rules For Non-IPO Listings
Posted by Andrew Brady, Phyllis Korff and Michael Zeidel, Skadden, Arps, Slate, Meagher & Flom LLP, on Saturday, February 24, 2018 Editor's Note: Andrew Brady and Phyllis Korff are Of Counsel and...
View ArticleTexas Gulf Sulphur and the Genesis of Corporate Liability Under Rule 10b-5
Posted by A.C. Pritchard (University of Michigan) and Robert B. Thompson (Georgetown University), on Thursday, April 5, 2018 Editor's Note: Adam C. Pritchard is the Frances and George Skestos Professor...
View ArticleThe Future of Merger Litigation in Federal Courts?
Posted by Andrew Ditchfield and Neal A. Potischman, Davis Polk & Wardwell LLP, on Monday, May 7, 2018 Editor's Note: Andrew Ditchfield and Neal A. Potischman are partners at Davis Polk &...
View ArticleLazard’s 1Q 2018 13F Filing Analysis
Posted by Jim Rossman, Lazard, on Wednesday, June 6, 2018 Editor's Note: Jim Rossman is head of Shareholder Advisory at Lazard. This post is based on a Lazard publication by Mr. Rossman. Rule 13F-1 of...
View ArticleResponse to U.S. Senate Banking Committee
Posted by Katherine Rabin, Glass, Lewis & Co., on Thursday, June 21, 2018 Editor's Note: Katherine Rabin is CEO of Glass, Lewis & Co. This post is based on Ms. Rabin’s letter to Senator Dean...
View ArticleLorenzo v. SEC: Will the Supreme Court Further Curtail Rule 10b-5?
Posted by Roger A. Cooper, Matthew C. Solomon & Leslie N. Silverman, Cleary Gottlieb Steen & Hamilton LLP, on Monday, July 30, 2018 Editor's Note: Roger A. Cooper and Matthew C. Solomon are...
View ArticleJOBS Act 3.0
Posted by Glenn Pollner, Elizabeth Ising, and Thurston Hamlette, Gibson, Dunn & Crutcher LLP, on Monday, August 6, 2018 Editor's Note: Glenn Pollner and Elizabeth Ising are partners and Thurston...
View ArticleTokens and the Extraterritorial Reach of US Securities Laws
Posted by David Felsenthal, Steven Gatti, and Jesse Overall, Clifford Chance US LLP , on Wednesday, October 24, 2018 Editor's Note: David Felsenthal and Steven Gatti are partners and Jesse Overall is...
View ArticleAmended NASDAQ Rules for Shareholder Approval
Posted by Ade Heyliger and Andrew Holt, Weil, Gotshal & Manges LLP, on Monday, October 29, 2018 Editor's Note: Ade Heyliger is a partner and Andrew Holt is an associate at Weil, Gotshal &...
View ArticleCyber-Fraud Controls and the SEC
Posted by Marc J. Fagel and Alexander H. Southwell, Gibson, Dunn & Crutcher LLP, on Tuesday, November 6, 2018 Editor's Note: Marc J. Fagel and Alexander H. Southwell are partners at Gibson, Dunn...
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