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Dem commissioner sees 'poor incentives,' worries about dilution, shareholder protection
'Archegos engaged in a brazen scheme to manipulate the market,' SEC claims in civil suit.
'This is a process. You should look for small steps, rather than big pivots...'
Dem Commissioner says she's open to new definition of shareholder of record, but wants to hear from experts on it.
'The failure to take an otherwise routine step makes sense only in the larger context of the Commission’s newfound hostility to SPAC capital formation.'
Sentence will deter others, judge hopes
'Final rule should be a minimum standard and not a maximum compliance threshold,' group says.
'We prefer not to hear a "check-the-box" presentation,' Polite says
Exchanges would follow 14 principles of Exchange Act Sec. 3D
Disclosure arbitrage made industry belle of Wall Street's ball