‘Enforcement 40’ for 2020
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By Securities Docket on January 6, 2020, 8:46 am
The liability environment for directors and officers is always in a state of change, but 2019 was a particularly eventful year in the D&O liability arena, with important consequences for the D&O insurance marketplace. The past year’s many developments have significant implications for what may lie ahead in 2020 – and possibly for years to […]
By Securities Docket on January 23, 2019, 8:59 am
“I do believe it will go to zero. I think it’s a great technology but I don’t believe it’s a currency. It’s not based on anything,” Jeff Schumacher, founder of BCG Digital Ventures, said during a CNBC-hosted panel in Davos, Switzerland. Schumacher is a big investor in blockchain-focused companies. During the debate, Glenn Hutchins, co-founder […]
By Securities Docket on August 29, 2018, 7:55 am
Don’t expect the feds to get less interested in Tesla just because it has decided to stay public. “I think the SEC’s interest in Tesla has been heightened, so they’ll be kept under close watch,” says Stephen Diamond, who studies securities law and corporate governance at the Santa Clara University School of Law. In fact, […]
By Securities Docket on June 30, 2017, 11:04 am
U.S. regulators are scrutinizing how hedge funds and other money managers divvy up the stock they get from hot initial public offerings due to concerns that highly lucrative trades are inappropriately enriching a select few, said three people familiar with the matter. Investment firms typically oversee multiple funds, and the Securities and Exchange Commission is asking how […]
By Securities Docket on October 17, 2016, 5:22 pm
SEC Director Andrew Ceresney has pay-to-play in mind — and has put public pensions on notice that the agency is watching. The SEC is stepping up its coordination with the FBI and U.S. Attorney’s Office as it looks into pay-to-play schemes involving public pensions, Ceresney said at the Securities Enforcement Forum in Washington last week. via […]
By Securities Docket on April 12, 2016, 12:59 pm
Please join panelists Neil Gray, Jeff Litvak, and Clara Chin for this free webcast.
By Securities Docket on April 18, 2014, 8:50 am
Please join us May 8, 2014 in San Francisco for the West Coast SEC Directors Roundtable!
By Securities Docket on March 25, 2014, 9:31 am
The Dark Web is only accessible via the Tor browser. A Tor (The Onion Router) browser is special because it uses multiple layers of security, like the layers of an onion, to hide the internet protocol (IP) address of those accessing the sites it hosts. Without an IP address, it is nearly impossible to trace […]
By Securities Docket on December 20, 2013, 1:34 pm
In other words, our ban on insider trading isn’t really about protecting investors or making markets function better. It’s about expressing a moral view, much like we do with Blue Laws that ban the sale of alcohol on Sundays. There’s nothing necessarily wrong with encoding morality into securities laws. But should Steinberg really be facing […]
By Securities Docket on December 13, 2013, 3:28 pm
Please join Bill McLucas, Doug Davison, Marty Wilczynski and Jason Flemmons for this free webcast.
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