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Searching Content from United States indexed under Corporate/Commercial Law ordered by Published Date Descending.
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1
Scientist Settles SEC Insider Trading Charges
A former scientist at a California-based biotech company agreed to settle SEC insider trading charges.
United States
16 Jul 2018
2
Federal Register: SEC Adopts Amendments To Open-End Fund Liquidity Reporting Requirements
SEC final amendments relating to liquidity disclosures and Form N-Port classification reporting for open-end funds were published in the Federal Register.
United States
16 Jul 2018
3
Federal Register: SEC Adopts Amendments To Expand Definition Of Smaller Reporting Company
SEC final amendments to expand the definition of "smaller reporting company" ("SRC") were published in the Federal Register.
United States
16 Jul 2018
4
SEC Grants Exemption From Certain Tender Offer Requirements
The SEC Division of Corporation Finance granted exemptive and no-action relief to a technology company and two subsidiaries from certain tender offer requirements in connection with a complex series of transactions.
United States
16 Jul 2018
5
SEC Charges Former Payment Processing Company CEO And Girlfriend With Insider Trading
The SEC charged the former CEO of a payment systems company and his girlfriend with insider trading ahead of a merger announcement.
United States
16 Jul 2018
6
Federal Jury Convicts Two Individuals In Newswire Hacking Case
A federal jury in the U.S. District Court for the Eastern District of New York convicted a former hedge fund manager and a former securities trader of various securities fraud charges for their roles...
United States
16 Jul 2018
7
Delaware Supreme Court Cautions That "Partial And Elliptical Disclosures" Cannot Support The Application Of Corwin Business Judgment Review
On July 9, 2018, the Delaware Supreme Court held in Morrison v. Berry that Corwin business judgment review will not apply to stockholder-approved transactions when "partial and elliptical"...
United States
16 Jul 2018
8
Upcoming SEC Open Meeting On Rule 701 And Regulation S-X Proposals
The SEC will hold an open meeting on July 18th in order to consider the changes to Rule 701 required by the Crapo Act about which we previously blogged, as well as to consider the release...
United States
16 Jul 2018
9
Mid-Year IPO Market Update
The U.S. IPO market has kept a steady pace through the second half of 2018, according to EY's quarterly IPO trends report.
United States
16 Jul 2018
10
SEC's Proposed Rule 6C-11 Would Level The ETF Playing Field
The Securities and Exchange Commission on June 28, 2018 proposed a long-anticipated rule that would allow most exchange-traded funds (ETFs) ...
United States
16 Jul 2018
11
Groups Take Aim—From Opposite Directions—At Shareholder Proposals
It's also been reported that nine ESG proposals were successful in winning majority votes this year.
United States
16 Jul 2018
12
Does Kavanaugh's Dissenting Opinion In An Antitrust Case Portend His Views On Abortion?
Judge Kavanaugh dissented from the majority's opinion in that case, and he was criticized by the majority for not properly respecting Supreme Court precedent.
United States
16 Jul 2018
13
"Proposed Revisions To The Volcker Rule's Implementing Rules – Select Proposals And Open Questions"
On May 30, 2018, the Board of Governors of the Federal Reserve System, together with the Commodity Futures Trading Commission, the Federal Deposit Insurance Corporation ...
United States
16 Jul 2018
14
Letter From The Hill To The SEC On Buybacks
As we discussed in a prior post, Commissioner Jackson has spoken out on transactions undertaken by public company executives in close proximity to their companies' stock buybacks.
United States
13 Jul 2018
15
2018 Proposed ETF Rulemaking
On June 28, 2018 at an open meeting, the SEC unanimously voted to propose new Rule 6c-11 under the Investment Company Act of 1940, as amended, which, if adopted, would permit exchange-traded funds ...
United States
13 Jul 2018
16
SEC Proposes Changes To Its Whistleblower Program
Yesterday, the SEC voted (by a vote of three to two) to propose amendments to the rules related to its whistleblower program. According to Chair Clayton, the program has been a resounding success...
United States
13 Jul 2018
17
SEC Expands "Smaller Reporting Company" Definition
The change is effective 60 days after publication in the Federal Register, which should happen fairly soon.
United States
13 Jul 2018
18
Central District Of California Certifies Class In Securities Stock Drop Action Against Restaurant Chain, Finding Insider Trades With Private Counterparty Did Not Preclude Certification Under Section 20a
On July 3, 2018, Judge David O. Carter of the United States District Court for the Central District of California granted plaintiffs' motion to certify a class in a securities fraud action against Tex-Mex restaurant...
United States
13 Jul 2018
19
Attracting The "Right" Tenants With Office Space Amenities
For the past few years, commercial landlords have concluded that increased office amenities attract commercial tenants because those tenant companies, in turn, need to appeal to a newer...
United States
12 Jul 2018
20
SEC Expands Definition Of Smaller Reporting Company
On June 28, 2018, the SEC revised the definition of "smaller reporting company" in order to expand the number of registrants that will qualify as smaller reporting companies and to reduce compliance...
United States
12 Jul 2018
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