Citadel v. SEC: Fast and Furious
The latest battle over high-speed trading is being fought out in one of the nation’s federal appellate courts. The subject […]
SEC
A BAD PLAN POORLY EXECUTED
The definition of securities fraud under federal law, essentially a misrepresentation of information useful to an investor in making investment
SEC Rule Mandating Share Buyback Disclosure Challenged by Chamber
Stock buybacks are a common, and ever more popular, feature of our financial landscape. In 2022, corporations purchased $1.25 trillion
Court Cuts Investor Some Slack
In 2018, the New York Stock Exchange introduced a rule, which the SEC approved, authorizing companies to go public through
Google’s Cost of Doing Business Got Higher
Google has provided us with a template for how not to deal with a corporate problem, and how to make
Opinions
The SEC’s Unconstitutional Condition
As a condition of settling civil charges, the Securities and Exchange Commission (“SEC”) normally permits those it sues to say
Opinions
Upcoming SEC Certification Requirements for Officers/Directors of Private Funds and New Quarterly De
In July of 2013, the U.S. Securities and Exchange Commission (“SEC”) adopted a “bad actor” provision to be added to