Fixing ESG: Are Mandatory ESG Disclosures the Solution to Misleading Ratings?
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Browsing: SEC
The Stock Exchanges vs. SEC: How the New Market Data Infrastructure Regulations Will Help the Common Investor
On December 9, 2020, all five Securities and Exchange Commission (“SEC”) Commissioners voted to adopt…
Modernizing the “Accredited Investor”
The definition of “accredited investor” is at the heart of Rule 506 exemption, one of…
Maintaining Protections vs. Prioritizing Efficiency: Implications of the SEC’s New “In Writing” Reporting Requirement for Whistleblowers
Over ten years after the inception of the U.S. Securities and Exchange Commission’s (the “SEC”)…
The Broker-Dealer Profession is Trending Down. No, the Answer to “Why” is Not COVID.
As the pandemic rapidly spread throughout the world at the beginning of this year, financial…
Proposed SEC Guide 3 Changes Entail Streamlined Bank Disclosures
In September, the Securities and Exchange Commission (“SEC”) proposed a series of updates to Guide…
The 20th Annual A. A. Sommer, Jr. Lecture on Corporate Securities and Financial Law
SEC Commissioner Hester M. Pierce (left) and Ben A. Indek (right) On November 14, 2019,…
Statutory Inspection Rights in Delaware: An Examination of the “Proper Purpose” Requirement
Statutory Inspection Rights Alongside the rights to vote and sell shares, the ability to inspect…
SEC Proposal to Permit Non-Emerging Growth Companies to “Test the Waters”
On February 19, 2019, the Securities and Exchange Commission (“SEC”) voted to propose an expansion…
Form ADV: Investment Adviser Registration and Ongoing Reporting Obligations under the Advisers Act
Spring is a busy time for investment advisers because they are required to submit their…