[WEBINAR] Update on the California Environmental Quality Act: What’s New for 2018
CorpCast Episode 1: Sections, 204, 205 and In re Numoda
All eyes are on California as we patiently await the outcome of the numerous challenges to the U.S. Securities and Exchange Commission's Climate-Related Disclosure Rules. ...more
While the SEC meddling in industry pricing and other commercial matters is not a new phenomenon, a recent SEC proposal reflects an enhanced willingness by the agency to tightly grip the industry’s purse strings (and a slow...more
On Friday, September 29, 2023, the Securities and Exchange Commission (the “SEC”) issued an order that censured D. E. Shaw & Co., L.P., a registered investment advisor in New York, and assessed a civil penalty of $10,000,000...more
Under the Investment Company Act of 1940, securities held by a fund for which market quotations are readily available are to be priced at current market value, and securities for which market quotations are not readily...more
On January 23, 2020, the Federal Court of Appeals for the Seventh Circuit issued a scathing decision that has garnered much attention. (Baez-Sanchez v. Barr, No. 19-1642 (7th Cir. 2020). It was not the merits of the...more
The Securities and Exchange Commission provides links to various federal securities laws, including the following...more
The D.C. Circuit’s decision is significant because certain SEC statutes require a finding of willfulness. The U.S. Court of Appeals for the District of Columbia Circuit ("D.C. Circuit") is raising the bar on "willful"...more
On January 22, 2018, US Securities and Exchange Commission (SEC) Chairman Jay Clayton gave the opening remarks at the Securities Regulation Institute. His comments provided helpful guidance on several noteworthy topics...more