Category: Rulemaking

The SEC’s Proposed Climate Related Disclosure Rule

BY: Will Frigerio, RBFL Student Editor On March 21, 2022, the Securities and Exchange Commission proposed a rule that would require public companies to include climate related disclosures on registration statements and periodic reports. The proposed rule has prompted strong responses, both in support of the rule and arguing against it. Many commentators have questioned […]

Bringing in the Big Dogs: Benefits of SEC’s Proposed Climate Risk Disclosure Rule

BY: Jaclyn Rothenberg, RBFL Student Editor On April 11, 2022, the SEC proposed a new rule: The Enhancement and Standardization of Climate-Related Disclosures for Investors. This rule adds a new subpart to Regulation S-K, which includes three types of emissions disclosures. Scope 1 disclosure requires a company to disclose information about its direct greenhouse gas […]

What is Rule 17 and Rule 17a-4?

BY: Imara Joroff, RBFL Student Editor In 2022, the Securities and Exchange Commission (SEC) reached a record number of ordered money totaling $6.4 billion. This same year, the SEC reached a $1.8 billion settlement with sixteen firms for repeated violations on Rule 17a-4 – Texting Scandals. Rule 17a-4 details the “manner and length of time […]

Finfluencers, Meme Stocks, and Regulatory Response

BY: Megan R. Miller, RBFL Student Editor “Finfluencer” activity has exploded in recent years, especially during the COVID-19 pandemic. According to Bloomberg Wealth, “finfluencers” are online personalities who share financial advice, particularly on social media. Social media platforms like YouTube, TikTok, and Instagram are full of young people offering investment, budgeting, and other financial advice […]

Robinhood IPO – Continued Regulatory Issues After Going Public

BY: Aspen Schneider, RBFL Student Editor Throughout its eight years of operation, Robinhood has faced many problems. The company has been penalized by multiple regulatory bodies for a variety of offenses. In response to the penalties, Robinhood has made hopeful additions to the board of directors and made various improvements within the platform. However, regardless […]

The SEC and Climate-Related Disclosures

BY: Jacob Robart, RBFL Student Editor Motivated by strong investor demand, the Securities and Exchange Commission is expected to announce new rules for climate-related disclosures. In crafting a new climate disclosure framework, the SEC will be guided by the principles of consistency and comparability while seeking to mandate disclosures that will be decision useful to […]

Comparing Unprofitable Companies to SPAC Investments Following AMG Capital Management, LLC v. Federal Trade Commission

BY: Matthew Rosen, RBFL Student Editor In April of 2021, the Supreme Court laid down a ruling that severely diminished the Federal Trade Commission’s ability to obtain monetary relief in federal court. In AMG Capital Management, LLC v. Federal Trade Commission (AMG v. FTC) the court radically overhauled the dynamic within the court system. The […]

Regulatory Landscape in Wyoming and Wyoming’s Leadership in Cryptocurrency

BY: Melissa Pereira, RBFL Student Editor Cryptocurrency (“Crypto”) financial technology may be the future of transacting. However, there are regulatory obstacles to overcome before widespread adoption and usage can be achieved. My developmental article extensively discusses these regulatory obstacles, the need for a clear regulatory framework of crypto, Wyoming’s leadership in implementing crypto-friendly regulation, as […]

The United States’ Foreign Direct Investment Screening Regime in a Post-COVID World

BY: Margaux Arntson, RBFL Student Editor The COVID-19 pandemic (“pandemic”, “COVID-19”) and countries’ responsive containment measures brought shockwaves to the world, especially to worldwide supply and demand. The pandemic disrupted global production networks, leaving many countries’ economies in turmoil. This environment presented opportunistic buyers with the chance to acquire or invest in foreign sectors and […]