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Drug distributor may not omit shareholder proposal relating to opioid crisis
AmerisourceBergen Corporation may not omit a shareholder proposal that seeks a report on the governance measures the company has instituted since 2012 to more effectively monitor and manage the...
High court passes on reviewing Illinois’ application of Delaware securities law
The Supreme Court has declined to review whether the Illinois courts violated the Full Faith and Credit Clause of the Constitution by refusing to apply a recent Delaware Supreme Court decision...
Justices take blockbuster Lucia case to decide status of SEC’s law judges
The Supreme Court agreed to hear Raymond Lucia’s case alleging that the SEC’s administrative law judges were appointed in violation of the U.S. Constitution’s Appointments Clause...
IM division issues FAQs on investment company liquidity risk management programs
The SEC’s Division of Investment Management has released guidance on the SEC's new fund liquidity risk management (LRM) rule for certain types of funds. Specifically, the guidance responds...
Attorney’s opinion letters were integral to pump-and-dump scheme
The SEC’s case continues against a Houston-based attorney who allegedly issued false opinion letters to bolster a pump-and-dump scheme. The defendant received $700 for sending two opinion...