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Commissioner Peirce chides ‘shrill, self-righteous’ overuse of ESG ratings
ESG scorecards containing errors and using widely varying methodologies can have far-reaching negative consequences for companies.
SEC issues long-awaited final rules on capital, margin, and segregation requirements for security swap-based participants
As called for by Dodd-Frank Act, the Securities and Exchange Commission is adopting capital and margin requirements for security-based swap dealers and major security-based swap participants.
Delaware high court revives Caremark claim against Blue Bell board
Proving a Caremark claim is notoriously difficult, but a Blue Bell shareholder adequately pleaded the absence of any board-level system for monitoring food safety.
SEC seeks comment on Securities Act registration exemptions
A new concept release reviews exemptions from registration and seeks comment on possible ways to how to improve several aspects of the existing exempt offering framework.
Appeals court upholds FINRA pay-to-play rule
The D.C. Circuit upheld the SEC’s approval of a FINRA rule barring placement agents from getting paid for soliciting government business after making political contributions.