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Resources

 
Last Update: April 09, 2021

SEC Official Warns of SPAC Risks
Hazel Bradford, Pensions & Investments, April 09, 2021 · Read Excerpt
SEC Whistleblower Head Jane Norberg to Depart
Aaron Nicodemus, Compliance Week, April 08, 2021 · Read Excerpt
U.S. SEC Blocks Amazon Effort to Stop Shareholder Votes on Racial Equity Audit
Staff Reporter, Reuters, April 07, 2021 · Read Excerpt
Formal SEC Investigation not a Securities Claim Under D&O Insurance Policy
Kevin LaCroix, The D & O Diary, March 31, 2021 · Read Excerpt
SEC Denies Exchanges Stay on Market Data Rule
Hazel Bradford, Pensions & Investments, March 29, 2021 · Read Excerpt
U.S. Regulator Opens Inquiry into Wall Street's Blank Check IPO Frenzy - Sources
Jody Godoy, Chris Prentice, Reuters, March 24, 2021 · Read Excerpt
SEC Puts Climate, ESG on Front Page
Hazel Bradford, Pensions & Investments, March 22, 2021 · Read Excerpt
Securities Class-Action Settlements Hold Steady, Despite Pandemic Report
Brian Croce, Pensions & Investments, March 18, 2021 · Read Excerpt
A Year of COVID-19-Related Securities Lawsuits
Kevin LaCroix, The D & O Diary, March 15, 2021 · Read Excerpt
Coronavirus-Related Securities Suit Against Royal Caribbean Voluntarily Dismissed
Kevin LaCroix, The D & O Diary, March 11, 2021 · Read Excerpt
WageWorks Inks $30M Deal In Investors' Padded Revenue Suit
Dave Simpson, Law360 - Securities, April 02, 2021 · Read Excerpt
WWE's $39M Deal In Investor Suit Gets Judge's Initial OK
Sarah Jarvis, Law360 - Securities, March 09, 2021 · Read Excerpt
CBD Co. Zynerba, Investors Aim To Settle Drug Trial Claims
Emilie Ruscoe, Law360 - Securities, March 09, 2021 · Read Excerpt
Baxter Settles Investor Suit Over Forex Accounting Controls
Lauraann Wood, Law360 - Securities, February 26, 2021 · Read Excerpt
Universal Health Services Settles Investor Suit for $17.5M
Emilie Ruscoe, Law360 - Securities, February 25, 2021 · Read Excerpt
Tech Co. Baidu Dodges Stock Suit Over Chinese Reg Risks
Dean Seal, Law360 - Securities, April 08, 2021 · Read Excerpt
Claims Narrowed In Investors' $3B Pa. Pipeline Bribery Suit
Matthew Santoni, Law360 - Securities, April 06, 2021 · Read Excerpt
Edison Gets Wildfire Stock-Drop Suit Extinguished
Clark Mindock, Law360 - Securities, April 06, 2021 · Read Excerpt
ATM Biz Escapes Investor Suit Over Merger Results For Now
Sierra Jackson, Law360 - Securities, March 31, 2021 · Read Excerpt
Merit Medical Can't Dodge Investor Suit Over Acquisitions
Craig Clough, Law360 - Securities, March 30, 2021 · Read Excerpt