Searching Content by Louis Rambo ordered by Published Date Descending.
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SEC's Division Of Corporation Finance Revamps Administration Of No-Action Requests Under Rule 14a-8 Regarding Shareholder Proposals
Changes May Create New Challenges for Public Companies, and Signal a Reduction of the SEC Staff's Traditional Role As Arbiter Between Companies and Shareholders
United States
20 Sep 2019
SEC Identifies Policies, Procedures And Disclosures Related To Registered Investment Advisers' Proxy Voting Responsibilities And Proxy Voting Advice
On August 21, 2019, the Securities and Exchange Commission issued two interpretive releases involving proxy voting and proxy voting advice.
United States
16 Sep 2019
Hypothetical Risk Factors Pose A Real Risk
On July 24, 2019, the Securities and Exchange Commission (the "SEC") announced charges against Facebook Inc. ("Facebook")
United States
2 Aug 2019
Special Issues Under Sections 13(d) And 16 For Hedge Funds
The latest chapter in our Practical Guide to the Regulation of Hedge Fund Trading Activities has been released.
United States
25 Jan 2019
Division Of Corporate Finance Releases Updated C&DIs
While such individuals and groups must still be reported, this C&DI provides some flexibility in the manner of reporting.
United States
21 Jun 2018
New SEC Probe Of ICO Issuers And SAFT Structure
The Wall Street Journal recently reported that the SEC has issued dozens of subpoenas and information requests in connection with sales and pre-sales of initial coin offerings.
United States
14 Mar 2018
New York State Department Of Financial Services Issues Guidance To Virtual Currency Entities
On February 7, 2018, the New York State DFS issued guidance for all virtual currency entities licensed by New York State regarding the prevention of market manipulation, fraud, and other wrongdoing.
United States
26 Feb 2018
Further SEC Action And Guidance With Respect To ICOs And Cryptocurrencies
The SEC took two additional steps today in its regulation and oversight of the initial coin offering ("ICO") and cryptocurrency markets.
United States
12 Dec 2017
SEC Chairman Jay Clayton's Remarks On ICOs
In his remarks at a recent Practicing Law Institute program on securities regulation, Securities and Exchange Commission Chairman Jay Clayton once again addressed Initial Coin Offerings, or ICOs.
United States
15 Nov 2017
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