Year: 2021

As we head toward the Thanksgiving holiday the Commission updated and revised rules. First the agency proposed updates to its electronic record keeping requirements. Second, certain proxy rule amendments adopted just two years ago were revised to simplify the rules …

This Week In Securities Litigation (Week of November 29, 2021) Read More »

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Cornerstone Research and the NYU Pollack Center issued their annual report titled SEC Enforcement Activity: Public Companies and Subsidiaries for 2021 (here). The Report identifies trends in a subsection of the actions filed by the Commission. Cases: Not surprisingly the …

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