NASAA Urges Congress To Codify M&A Broker Relief

Last week, the North American Securities Administrators Association sent a letter to U.S. Senate and House committee leaders expressing concern that the appropriations process will "may be used to advance provisions in the draft JOBS Act 4.0 that...

Commissioner Uyeda Urges Questioning Of ESG Trend Sustainability

In recent remarks to the 2022 Cato Summit on Financial Regulation, Securities and Exchange Commissioner Mark Uyeda noted the uncertainty of both costs and benefits of ESG investing.  With respect to costs, Commissioner Uyeda pointed out that the...

A Short Course In Insider Trading

Last week, the Securities and Exchange Commission announced that it had filed a complaint against the Chief Information Officer of pharmaceutical company Viatris Inc. (formerly known as Mylan N.V.).  The SEC is alleging that the CTO tipped his...

Could A "Red Wave" Wipe Out The SEC's Clawback Rules?

The Securities and Exchange Commission new "clawback" rules were approved on a divided vote.  The two Republican members of the Commission, Hester M. Peirce and Mark T. Uyeda voted against adoption.  Tomorrow's election will not result in an...

Has The SEC Conflated Indemnification And Insurance?

Today's post continues the discussion of the SEC's recent adoption of rules requiring the securities exchanges to adopt listing standards requiring listed companies to develop and implement policies providing for the recovery of erroneously awarded...

The SEC's Immensely Impracticable Impracticability Exception

This week's posts have been discussing the recent adoption by the Securities and Exchange Commission of rules requiring the securities exchanges to adopt listing standards requiring listed companies to develop and implement policies providing for...

The SEC's Tenuous, Tentative Case For Preemption

The Securities and Exchange Commission's last week adopted rules requiring the securities exchanges to adopt listing standards requiring listed companies to develop and implement policies providing for the recovery of erroneously awarded...

The SEC's Failure To Update May Defenestrate Claw-Back Rule Making

As has been widely reported, the Securities and Exchange Commission last week finally adopted rules requiring the securities exchanges to adopt listing standards requiring listed companies to develop and implement policies providing for the recovery...

What's Misleading About "Leading"?

In this post yesterday, John Jenkins took aim at issuer's that characterize themselves as "leading".  He notes that the SEC Staff has and continues to comment on such characterizations.  I think that in some cases these comments are a waste of time...

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