Tag Archives: Activity

SEC Public Company Enforcement Activity Remained Near Record Levels in FY2019’s First Half

Driven in significant part by the new actions filed as part of the SEC’s Share Class Selection Disclosure Initiative, the number of SEC enforcement actions against public companies and subsidiaries remained at “near-record levels” in the first half of fiscal … Continue reading

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Are you kicking goals when it comes to social media activity, or heading to the sin bin?

They say that a picture tells a thousand words.  But as became apparent in Australia recently, posting a picture on social media can result in a thousand (derogatory and sexist) words. A photograph posted on Twitter by Seven AFL (taken … Continue reading

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Suspicious Activity Monitoring and Reporting – FINRA Issues Notice Consolidating Governmental and Regulatory “Red Flag” Guidance

Enforcement actions sanctioning firms and, in a few cases, individuals for failing to investigate and report suspicious activity have been significantly on the rise. SEC, FinCEN, FINRA, and others have been active in this area, particularly with regard to trading … Continue reading

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Oregon’s Proposed Corporate Activity Tax Would Harm Low-Income Oregonians the Most

Oregon is moving closer to enacting a new gross receipts tax to support public education funding. The Joint Committee on Student Success is holding public hearings on House Bill 3427, which outlines improvements to the state’s public education system. Revenue … Continue reading

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Professor Mead Participates in Chicago Law Review Issue on Criminal Activity Nuisance Laws

Professor Joe Mead was invited to participate in a University of Chicago Law Review issue on criminal activity nuisance laws. Along with his student, Marissa Pappas, Professor Mead discussed their research that they published in the Cleveland State Law Review’s … Continue reading

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