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Bass, Berry & Sims PLC

Reverberations Felt from SEC’s SPAC Proposal Even Before Rules Are Adopted

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In March 2022, the Securities and Exchange Commission (SEC) proposed sweeping new rules to regulate the disclosures and liabilities associated special purpose acquisition companies (SPACs). The proposing release is available...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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It may lack some of the flourish of a BBG missive, but you can be sure that plenty of insiders are paying close attention to Mr. Buffet’s annual letter to Berkshire Hathaway shareholders....more

Carlton Fields

Court Dismisses Challenge Of FINRA Arbitration Award For Lack Of Jurisdiction

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In a case involving a FINRA arbitration between investors and their financial advisor, Judge Anita S. Brody of the United States District Court for the Eastern District of Pennsylvania found that she did not have the...more

Foley Hoag LLP

The Massachusetts Securities Division Settlement with Citigroup: What Does It Mean?

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A recent Massachusetts Securities Division $30 million settlement with Citigroup Global Markets Inc. (“CGMI”) provides a public glimpse into a less-widely known form of non-public information – a research analyst’s preview of...more

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