Topic: Regulatory

— 1969 items —

The SEC’s massive Friday night dump…
November 2, 2009—By now, you’ve probably heard or read about the massive document dump that the SEC unleashed on Friday night: 536 exhibits related to the Bernie Madoff case. Reading all of these — even figuring out which ones are worth reading — was all but impossible, even if it wasn’t earnings and 10-Q season. The New […]

Walgreen worries about public option…
October 27, 2009—With the news yesterday that some form of the public option for healthcare appears to be moving forward, we can probably expect more companies to start including warnings like Walgreen (WAG) did in the 10-K it filed yesterday: The Federal government has been considering proposals to reform the U.S. health care system. These proposals may […]

More guns, less butter?
October 21, 2009—Sorry — the economics major in me came out in the headline. But it’s the first thing that I thought about after skimming the S-1 that Freedom Group filed earlier today. You can read news reports of the filing here and here. We’ve only skimmed the filing, but just like Smith & Wesson, Freedom Group […]

Ritholtz says: Give the SEC teeth!
October 1, 2009—My good friend and blogger extraordinaire Barry Ritholtz wrote such a compelling post yesterday about the SEC that I thought it was worth sharing with footnoted.org readers. Here it is in its entirety as only Barry can say it: The problems at the SEC were decades in the making. The agency is supposed to be […]

Altria’s “Back to School” presentation
September 10, 2009—We’re not sure who was responsible for coming up with the name “Back to School Conference” that Barclay’s Capital is putting on in Boston yesterday and today that includes companies like Altria (MO) and Constellation Brands (STZ). Granted, they are just two of the many companies presenting. But there’s clearly something a bit odd about […]

Marvel’s Friday night dump…
September 8, 2009—We don’t mean to drone on about the Disney (DIS) Marvel (MVL) marriage — really we don’t, especially since we’re feeling well-rested after a nice week at the beach. But we couldn’t help it after spotting this 8-K filed late Friday before the long holiday weekend. At just over 100 pages, it doesn’t compete for […]

FCN: There’s a new sheriff in town…
August 11, 2009—While we’re still making our way through the massive amount of Qs that have been filed over the past few days, we thought that this transcript attached to an 8-K filed late yesterday by footnoted frequent flyer FTI Consulting (FCN) was too amusing to pass up. Here’s a snip from CEO Jack Dunn: On the […]

The Senate takes on hedge funds…
July 16, 2009—Yesterday afternoon, we listened in on the Senate Banking Committee’s hearing on additional regulation for hedge funds and other forms of private investment, like venture capital. Which seems like a fairly important topic, given some of the grand-standing we’ve seen in the not-too-distant past from various elected officials. Yet, when the live feed pulled away […]

Groucho Marx in the filings…
July 10, 2009—Is summer giving all the folks who normally slave to make SEC filings as boring as possible an opportunity to loosen up? The evidence may be anecdotal, but it’s growing. Exhibit A was this dead frogs disclosure from two weeks ago. Now, via fund of funds Ascendant Capital Partners, which filed this offering statement yesterday […]

A footnoted.org exclusive: Michael Steinhardt on the current markets…
May 27, 2009—We take a break from our usual troll through the filings because last night, I had a chance to hear legendary hedge fund investor Michael Steinhardt speak at a Brandeis event at the Harmonie Club. Though Steinhardt has been retired from the industry for nearly 15 years now, and said he spends most of his […]