Between the Lines Blog

Securities Litigation Results in Win for Broker and Clarifies Law in the Eighth Circuit
Category: Appellate Law, Class Action, Eighth Circuit Appellate , Litigation, Securities
Through an investment bank (acting as broker), clients invested in Reverse Convertible Notes (RCNs). RCNs are a complex “structured financial product” that is sometimes championed as a high-yield, short-term investment promising above-market interest payments but is nonetheless viewed as “perhaps…
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Earnings Releases and Investor Calls in Light of COVID-19: SEC Chairman and Director of Corporation Finance Issue Joint Public Statement
Category: Coronavirus (COVID-19), Securities
On Wednesday, April 8, 2020, the SEC Chairman, Jay Clayton, and Director of the SEC’s Division of Corporation Finance, William Hinman, released a joint public statement emphasizing the importance of disclosures from public companies in light of COVID-19. As noted in the statement, “In the coming…
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Considerations for Holding Virtual Annual Shareholder Meetings in Light of COVID-19
Category: Business, Coronavirus (COVID-19), Securities
In light of Coronavirus Disease 2019 (“COVID-19”), the Securities and Exchange Commission (“SEC”) recently released guidance to assist public companies with their upcoming annual shareholder meetings. As explained in the SEC’s press release announcing the guidance, “[t]he guidance is designed to…
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