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T. Rowe wants to make clear that activists and other investors do not speak for them, in its June ESG Spotlight, as they share their investment philosophy on shareholder activism. Activi...
The banking sector should pay close attention to the recent bipartisan bill supporting marijuana legal reform (the “Strengthening the Tenth Amendment Through Entrusting States Act” or...
The Supreme Court Holds that American Pipe Tolling Does Not Apply to Subsequent Class Actions; Clarifies that Five-Year Period for Section 10(b) Claims Is a Statute of Repose
On June 11,...
State Street released a report on their Q1 focus and activities related to the companies where they vote. What we learned:
They’ve been busy. State Street voted at 2,596 meetings in ...
On May 29, 2018, the DOJ announced the largest-ever antitrust divestiture in the U.S. in connection with Bayer’s takeover of Monsanto. In addition to being newsworthy in light of its s...
It appears that “Main Street” in capital markets is both synonymous with retail investors and private companies, and there is rampant concern that Main Street companies are staying aw...
The Department of the Treasury’s Office of Foreign Assets Control (“OFAC”) has recently issued several new or amended Ukraine-/Russia-related General Licenses (“GLs”) and corres...
Rules and Regulations
SEC Proposes Rule Change to Address Auditor Independence with Respect to Certain Loans or Debtor-Creditor Relationships
Industry Update
SEC Enforcement Divisio...
Industry Update
SEC Launches Investor Protection Search Tool
Dalia Blass Remarks at the 2018 PLI Investment Management Institute
Jay Clayton: The Evolving Market for Retail Investment Se...
The Main Street Investors Coalition wants retail investors to have more influence in combating the rise of passive investors. Retail investors own about 30% of stock issued by U.S. compa...