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Searching Content from United States indexed under Corporate/Commercial Law ordered by Published Date Descending.
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1
Reg. Tracker: July 16 To July 31
The Cabinet Regulatory Tracker provides a list of upcoming reporting deadlines, comment deadlines, effective dates and expiration dates.
United States
27 Jul 2017
2
SEC Proposes Designating IEX Listings As Covered Securities
The SEC proposed a rule change that would exempt securities listed on the Investors Exchange ("IEX") from state registration requirements, pursuant to Securities Act Section 18(b).
United States
27 Jul 2017
3
Divided SEC Affirms Dismissal Of Insider Trading Case
A divided SEC affirmed an earlier ruling by an administrative judge that the SEC Division of Enforcement did not demonstrate sufficiently that a former trader had engaged in insider trading.
United States
27 Jul 2017
4
FINRA Publishes "Frequently Asked Questions" On New Pricing Disclosure Rules For Securities Confirmations
On July 12, 2017, FINRA issued guidance on its recent amendments to Rule 2232.
United States
27 Jul 2017
5
SEC Chairman Clayton Outlines Priorities, Signals Focus On Disclosure Requirements
In remarks at the New York Economic Club on July 12, Securities and Exchange Commission Chairman Jay Clayton set forth what he considers the guiding principles for his tenure at the agency.
United States
27 Jul 2017
6
Lack Of "Meaningful" Communication With Opposing Counsel, Client Results In "Overly Complex" And Burdensome Agreement; Partial Costs Shifted
The court instructed counsel in this case to meet to reach an agreement on the method by which ESI would be produced.
United States
27 Jul 2017
7
Charging Orders
A "charging order" allows a judgment creditor to receive a debtor's share of distributions from a limited liability company (LLC) or a partnership.
United States
26 Jul 2017
8
Supreme Court To Determine Whether State Courts Have Jurisdiction To Adjudicate Covered Class Actions Under The Securities Act Of 1933
On June 27, 2017, the Supreme Court granted certiorari in Cyan Inc. v. Beaver County Employees Retirement Fund,1 to decide whether the Securities Litigation Reform Act of 1998...
United States
26 Jul 2017
9
Second Circuit Rejects First Circuits Extreme Departure Test For Assessing Materiality Of An Alleged Omission Of Interim Financial Information From Registration Statement
In Stadnick v. Vivint Solar, Inc., 2017 WL 2661597 (2d Cir. June 21, 2017), the United States Court of Appeals for the Second Circuit affirmed the dismissal of claims for violations of Section 11 of the Securities Act...
United States
26 Jul 2017
10
"Bad Actor" Rules And The Risks Of Using Unregistered Finders To Raise Capital
"Raising capital privately is frequently a frustrating experience for many small to mid-size businesses," Stephen Goodman wrote in a recent article for Bloomberg Law's Securities Regulation & Law Report.
United States
26 Jul 2017
11
As Trump Declares "We Are Out" Of The Paris Accord, Investors Demand More Climate Change Risk Disclosure From Within
Investors from around the world have spoken. For the first time in history, they have publicly demanded more transparent and complete corporate financial risk disclosures related to climate change.
United States
26 Jul 2017
12
DraftKings And FanDuel Call Off Merger Following FTC Intervention
On July 13, 2017, daily fantasy sports providers DraftKings and FanDuel announced their decision to call off their proposed merger.
United States
26 Jul 2017
13
Valuation Insights: Second Quarter 2017
In this edition of Valuation Insights we discuss the results of a Duff & Phelps study which analyzed more than 3,000 fairness opinions filed with the SEC over a ten-year period ending in 2016.
United States
 
26 Jul 2017
14
Weekly Roundup Of Exchange Rules By Category - July 14, 2017
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of July 10 to July 14, 2017.
United States
26 Jul 2017
15
Appeals Court Dismisses Petition To Review MSRB "Pay To Play" Rule
The United States Court of Appeals for the Sixth Circuit dismissed a challenge (see previous coverage) to the MSRB's "pay-to-play" rule.
United States
26 Jul 2017
16
MSRB Provides Guidance On Conduit Financing
The MSRB issued guidance on the application of MSRB Rule G-42 to non-solicitor municipal advisors with regards to conduit financing.
United States
26 Jul 2017
17
SEC Issues Risk Alert On Top Five Exam Deficiencies
The SEC's Office of Compliance Inspections and Examinations released a risk alert on the five compliance topics most frequently identified in deficiency letters sent to SEC-
United States
26 Jul 2017
18
Private Placements Valuation
Private Placements are securities, such as common stock, warrants, bonds, not sold via a public offering but privately to a selected number of investors.
United States
26 Jul 2017
19
Court Of Chancery Holds That Stockholder Was Not Bound By Stock Transfer Restrictions That Were Not Noted On Stock Certificates
In Henry v. Phixios Holdings, Inc., C.A. No. 12504-VCMR (Del. Ch. July 10, 2017), the Court of Chancery, interpreting Section 202 of the Delaware General Corporation Law, found that a stockholder...
United States
26 Jul 2017
20
Court Of Chancery Holds That Structurally Coercive Stockholder Vote Does Not Ratify Fiduciary Actions Related To Shares Issuance And Proxy Grant To Stockholder
The Court determined that since the vote was coercive, it did not ratify actions by Liberty and Charter's directors and officers claimed by plaintiff to have breached fiduciary duties of loyalty.
United States
26 Jul 2017
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