Securities Law
27. What Fund Managers and Investors Should Know About the SEC’s Bold New Regulatory Agenda
June 2, 2022May 2022 Private fund managers and investors are on high alert as the U.S. Securities and Exchange Commission (SEC) proposes an aggressive new regulatory agenda. Its new draft rules have been described as a “sea change” and are intended to enhance regulation and protect investors in private funds. But do those investors need or want […]
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25. Litigation Trends in Delaware and How Businesses and Boards Can Mitigate Risk
February 16, 2022February 2022 New structures, new rules? Delaware’s Chancery Court provides guidance on disclosure, conflicts, and risk allocation. We take a look at the latest Delaware rulings and what they say about SPAC directors’ fiduciary duty, as well as COVID’s effect on M&A deals, and how corporations and boards can mitigate their liability. Join host and […]
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17. Shareholder Activism, Hostile M&A, and Related Issues for the 2021 Proxy Season
March 25, 2021February 2021 It’s proxy season, and for most companies, the time for annual meetings is just around the bend. Publicly traded companies are coming off a tumultuous year. The link between corporation and community has never been more at the forefront — from COVID-19 to racial justice to worker treatment. And businesses are facing activist […]
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Columbia Law Prof. John Coffee interviews SEC Commissioner Robert Jackson
November 17, 2019Commissioner Jackson dissented in a partisan 3-2 vote at the SEC on proposed proxy solicitation rules that he says will make it easier for CEOs to spend shareholder money. Professor Coffee questions the commissioner about new practices in short selling, the failure of the WeWork IPO, and whether the SEC has the right to seek disgorgement for violations […]
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Warshaw Burstein’s Meryl Wiener on the SEC Examination Priorities for 2019
March 7, 2019Warshaw Burstein partner Meryl Wiener examines the newly announced SEC Examination Priorities for 2019. She outlines what SEC registered entities, from established broker-dealers to newly-formed hedge funds, should consider in dealing with a routine examination by the SEC (as opposed to an examination for cause, which will be covered in a future podcast). Meryl notes […]
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Professor John Coffee of Columbia Law Joins Insider Trading Task Force
November 2, 2018Professor John Coffee of Columbia Law School speaks with WallStreetNorth’s John Metaxas (Columbia Law ’84) about the state of insider trading law. Professor Coffee has been asked to join a task force to develop proposals to update this area of the law. The task force is to be chaired by former U.S. Attorney Preet Bharara […]
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Meryl Wiener on the SEC’s proposed “Best Interest Rule”
July 6, 2018Warshaw Burstein partner Meryl Wiener speaks with John Metaxas about the “Best Interest Rule” proposed by the Securities and Exchange Commission.
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