Regulation By Enforcement
The SEC is well known for, and often criticized for, its practice of regulation by enforcement. In recent years the SEC has been mo...
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The BSTX
On January 27, 2022, the SEC approved the country’s 17th stock exchange, the first one of which will utilize blockchain technology. ...
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Non-Fungible Tokens
This one has been on my list for a while and I’m finally ready to dive in – non-fungible tokens (NFTs). In July 2017, the world of ...
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Disclosure Considerations Related To The Conflict In The Ukraine
In addition to being a tragedy, the Russian attack on the Ukraine has disrupted businesses around the world, caused a spike in oil p...
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SEC Proposes Rules Related To Securities Lending Market
In November 2021, the SEC proposed new Exchange Act Rule 10c-1, which would require lenders of securities to provide the material te...
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SEC ReOpens Comment Period For Pay Versus Performance
On January 27, 2022, the SEC re-opened the comment period on proposed rules under the Dodd-Frank Act requiring disclosure of informa...
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SEC Fall 2021 Regulatory Agenda
In mid-December, the SEC published its semiannual regulatory agenda and plans for rulemaking. The Unified Agenda of Regulatory and...
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SPAC Shareholder Litigation – First Fire
On January 3, 2022, the Delaware Court of Chancery denied a motion to dismiss a shareholder lawsuit against a SPAC’s sponsor, its di...
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Virtual Annual Meetings
As the Covid-19 pandemic continues to disrupt normal business operations and impede a third proxy/annual meeting season, the SEC has...
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SEC Proposes New Share Repurchase Disclosure Rules
On December 15, 2021, the SEC proposed amendments to Securities Exchange Act Rule 10b-18, which provides issuers and affiliates with...
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