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Stock Options Securities and Exchange Commission (SEC) Fiduciary Duty

Allen Matkins

When It Comes To Proxy Statements, The U.S. District Courts May Not Be So Exclusive After All

Allen Matkins on

A recent ruling by Vice Chancellor Donald F. Parsons, Jr. caused me to ponder why a case involving alleged misstatements in a proxy statement filed with the Securities and Exchange Commission wasn’t immediately tossed out on...more

Williams Mullen

Court Holds That Plan Sponsor’s SEC Filings Were Incorporated By Reference Into Retirement Plan’s Summary Plan Description and...

Williams Mullen on

The U.S. Court of Appeals for the Ninth Circuit has held that an ERISA-regulated employee stock-ownership retirement plan’s incorporation by reference of the plan sponsor’s statements to the Securities and Exchange Commission...more

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