Zobrazeno 1 - 10 of 113 pro vyhledávání: '"Andrew N. Vollmer"'
4
Does the SEC Have Legal Authority to Adopt Climate-Change Disclosure Rules?
Autor: Andrew N. Vollmer
Publikováno v: SSRN Electronic Journal.
The Securities and Exchange Commission is planning to propose new mandatory disclosure rules on climate change without further statutory authority from Congress. The purpose of this comment is to explain that the SEC does not currently have statutory
Externí odkaz: https://explore.openaire.eu/search/publication?articleId=doi_________::14080f8d88e263528250c54b361c2d3e
https://doi.org/10.2139/ssrn.3908560
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6
Evidence on the Use of Disclosure Documents in Private Securities Offerings to Accredited Investors
Autor: Andrew N. Vollmer
Publikováno v: SSRN Electronic Journal.
A company selling securities only to a category of buyers called accredited investors under the terms of a regulation of the Securities and Exchange Commission, Rule 506 of Regulation D, has no legal obligation to provide any information to prospecti
Externí odkaz: https://explore.openaire.eu/search/publication?articleId=doi_________::05f9abccfc8ddc012ce460f55e6da270
https://doi.org/10.2139/ssrn.3719283
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8
The Second Circuit’s Blaszczak Decision: Dirks Besieged
Autor: Andrew N. Vollmer
Publikováno v: SSRN Electronic Journal.
A major issue in United States v. Blaszczak, 2019 WL 7289753 (2d Cir.), was whether the government needed to prove the elements of a Rule 10b-5 tipping violation from Dirks v. SEC, 463 U.S. 646 (1983), when charging a tipper and tippees with the crim
Externí odkaz: https://explore.openaire.eu/search/publication?articleId=doi_________::613f05f3860f9b5084a98ce203ce510f
https://doi.org/10.2139/ssrn.3516082
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9
What Remains of Kokesh After Liu?
Autor: Andrew N. Vollmer
Publikováno v: SSRN Electronic Journal.
This paper addresses two questions that emerge from Liu v. SEC, 2020 WL 3405845 (U.S.). The first concerns the status of a disgorgement order in an SEC enforcement case that fails to satisfy the equitable limitations the Court discussed in the opinio
Externí odkaz: https://explore.openaire.eu/search/publication?articleId=doi_________::305dafdbacc2356a9f9fd24f0d773594
https://doi.org/10.2139/ssrn.3636505
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10
Submission of Comments on Improving and Reforming Regulatory Enforcement and Adjudication at the Securities and Exchange Commission
Autor: Andrew N. Vollmer
Publikováno v: SSRN Electronic Journal.
The Office of Management and Budget solicited suggestions for “regulatory reforms that will better safeguard due process in the regulatory enforcement and adjudication settings.” 85 Fed. Reg. 5483 (January 30, 2020). That invitation was a rare op
Externí odkaz: https://explore.openaire.eu/search/publication?articleId=doi_________::d89cc744965c054c7c120dab0776ba21
https://doi.org/10.2139/ssrn.3551634
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