A BAD PLAN POORLY EXECUTED
The definition of securities fraud under federal law, essentially a misrepresentation of information useful to an investor in making...
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 a Selling...
Court Casts Constitutional Cloud Over SEC Judges
George Jaresky is a hedge fund manager and conservative radio talk show host. In 2011, the Securities and Exchange Commission began an...
Are Activist Short Sellers Just Talking Their Own Book?
Short selling involves borrowing and then selling shares, placing a bet that they can later be bought back more cheaply to cover what the...
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 a bad situation infinitely worse....
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 this time is a...
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 in a...
The SEC and the ICO
Some people are making real money investing in cryptocurrencies. Just this year, Bitcoin has gained 300%. Another cryptocurrency,...
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 Rule 506 of...
