New Policy for Shareholder Proposal Rule
Posted by Joseph Hall, Betty Huber, and Ning Chiu, Davis Polk & Wardwell LLP, on Thursday, September 19, 2019 Editor's Note: Joseph A. Hall is a partner, and Betty M. Huber and Ning Chiu are...
View ArticleConfidential Treatment Applications and SEC Disclosure Guidance
Posted by Brian Breheny, Hagen Ganem and Caroline Kim, Skadden, Arps, Slate, Meagher & Flom LLP, on Wednesday, February 5, 2020 Editor's Note: Brian Breheny is partner, Hagen Ganem is counsel and...
View Article2019 Year in Review: Securities Litigation and Enforcement
Posted by Jason Halper, Kyle DeYoung, and Adam Magid, Cadwalader, Wickersham & Taft LLP, on Thursday, February 20, 2020 Editor's Note: Jason Halper and Kyle DeYoung are partners and Adam Magid is...
View ArticleSEC Charges for Failure to Disclose Material Trends
Posted by Cydney Posner, Cooley LLP, on Friday, February 28, 2020 Editor's Note: Cydney S. Posner is special counsel at Cooley LLP. This post is based on a Cooley memorandum by Ms. Posner. The SEC has...
View ArticleSecurities Class Action Settlements—2019 Review and Analysis
Posted by Laarni T. Bulan and Laura E. Simmons, Cornerstone Research, on Wednesday, March 11, 2020 Editor's Note: Laarni T. Bulan is a Principal and Laura Simmons is Senior Advisor at Cornerstone...
View ArticleThe SEC’s Market Abuse Enforcement Priorities
Posted by Daniel M. Hawke, Arnold & Porter Kaye Scholer LLP , on Thursday, January 24, 2019 Editor's Note: Daniel M. Hawke is a partner at Arnold & Porter Kaye Scholer LLP. This post is based...
View ArticleSeventh Circuit Holds That Price Impact Must Be Decided at the Class...
Posted by Meredith Kotler, Mary Eaton, and Doru Gavril, Freshfields Bruckhaus Deringer LLP, on Tuesday, July 21, 2020 Editor's Note: Meredith Kotler, Mary Eaton, and Doru Gavril are partners at...
View ArticleThe Withdrawal of the Boulder Letter
Posted by Phillip Goldstein, Bulldog Investors, on Tuesday, September 29, 2020 Editor's Note: Phillip Goldstein is the co-founder of Bulldog Investors. This post is based on his comment letter to the...
View ArticleSEC Increases Rule 14a-8 Thresholds
Posted by Eleazer Klein, Daniel A. Goldstein, and David M. Rothenberg, Schulte Roth & Zabel LLP, on Monday, October 12, 2020 Editor's Note: Eleazer Klein is a partner and Daniel A. Goldstein and...
View ArticleThe SEC’s Market Abuse Enforcement Priorities
Posted by Daniel M. Hawke, Arnold & Porter Kaye Scholer LLP , on Thursday, January 24, 2019 Editor's Note: Daniel M. Hawke is a partner at Arnold & Porter Kaye Scholer LLP. This post is based...
View ArticleThe Withdrawal of the Boulder Letter
Posted by Phillip Goldstein, Bulldog Investors, on Tuesday, September 29, 2020 Editor's Note: Phillip Goldstein is the co-founder of Bulldog Investors. This post is based on his comment letter to the...
View ArticleSEC charges executives with insider trading—10b5-1 plan provided no defense
Posted by Cydney S. Posner, Cooley LLP, on Monday, October 10, 2022 Editor's Note: Cydney S. Posner is special counsel at Cooley LLP. This post is based on her Cooley memorandum. Related research from...
View ArticleSEC Releases Final Rules Regarding Clawback Policies for Public Issuers
Posted by Jamin Koslowe, Gregory T. Grogan, Karen Hsu Kelley, Simpson Thacher & Bartlett LLP, on Saturday, November 19, 2022 Editor's Note: Gregory T. Grogan, Jamin R. Koslowe, and Karen Hsu Kelley...
View ArticleAbandoned and Split But Never Reversed: Borak and Federal Court Derivative...
Posted by Mohsen Manesh (University of Oregon), Joseph Grundfest (Stanford University), on Monday, December 12, 2022 Editor's Note: Joseph A. Grundfest is William A. Franke Professor of Law and...
View ArticleTop 5 SEC Enforcement Developments
Posted by Haimavathi V. Marlier, Jina Choi, Michael D. Birnbaum, Morrison & Foerster LLP, on Sunday, January 8, 2023 Editor's Note: Haimavathi V. Marlier, Jina Choi, and Michael D. Birnbaum are...
View ArticleAmendments to Rules Governing Trading Plans and Insider Filings
Posted by Eleazer Klein, Adriana Schwartz, Daniel A. Goldstein, Schulte Roth & Zabel LLP, on Thursday, January 26, 2023 Editor's Note: Eleazer Klein and Adriana Schwartz are Partners, and Daniel A....
View ArticleSEC Finds Forms 12b-25 Not Up to Snuff
Posted by Cydney S. Posner, Cooley LLP, on Saturday, September 9, 2023 Editor's Note: Cydney S. Posner is Special Counsel at Cooley LLP. This post is based on her Cooley memorandum. Earlier this week,...
View ArticleSEC Clawback Rules: Practical Considerations and FAQs
Posted by Keith Halverstam, Maj Vaseghi, and Jenna Cooper, Latham & Watkins LLP, on Saturday, November 4, 2023 Editor's Note: Keith Halverstam, Maj Vaseghi, and Jenna Cooper are Partners at Latham...
View ArticleSEC Adopts Amendments to Beneficial Ownership Reporting Rules
Posted by Eric Orsic, Thomas Conaghan, and Heidi Steele, McDermott Will & Emery LLP, on Wednesday, November 8, 2023 Editor's Note: Eric Orsic, Thomas Conaghan, and Heidi J. Steele are Partners at...
View ArticleSEC Outlines 2024 Examination Priorities
Posted by Aaron Gilbride, Marlon Q. Paz and Naim Culhaci, Latham & Watkins LLP, on Saturday, December 2, 2023 Editor's Note: Aaron Gilbride and Marlon Q. Paz are Partners and Naim Culhaci is a...
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