Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights May 31, 2013 Client Update SEC Issues Guidance on Conflict Minerals On May 30 the staff of the Securities and Exchange Commission issued interpretive guidance on the SEC’s new conflict min... May 16, 2013 Client Update SEC Proposes Cross-Border Security-Based Swap Rules On May 1, 2013, the Securities and Exchange Commission took long-awaited action to propose rules governing cross-border ac... May 3, 2013 Client Update Compensation Committee and Adviser Implementation Begins July 1: What to Do Now As discussed in our previous memo, in January 2013, the SEC approved amendments to the NYSE and Nasdaq listing standards r... May 2, 2013 Client Update FINRA Releases Additional Guidance Regarding the Use of Pre-Inception Index Performance in Institutional Communications On April 22, 2013, the Financial Industry Regulatory Authority (“FINRA”) issued an Interpretive Letter to ALPS Distrib... April 30, 2013 Client Update International Organization of Securities Commissions Releases Consultation Report on Regulation of Retail Structured Products A working group of the International Organization of Securities Commissions (IOSCO), the Madrid-based international policy... April 15, 2013 Client Update CFTC Provides Inter-affiliate Swap Clearing and Reporting Relief In advance of swap reporting and clearing deadlines, the CFTC adopted a final rule providing an exemption for inter-affili... April 4, 2013 Client Update SEC Explains How to Use Social Media for Regulation FD Compliance Regulation FD, adopted by the SEC in 2000, prohibits “selective disclosure” by requiring public companies to disclose ... February 20, 2013 Client Update Delaware Court of Chancery Declines to Dismiss Claims Against U.S. Independent Directors for Failure to Monitor China-Based Company In a bench ruling issued on February 6 in In re Puda Coal, Inc. Stockholders Litig., the Delaware Court of Chancery declin... January 23, 2013 Client Update FINRA Issues Voluntary Interim Form for Crowdfunding Portals On January 10, 2013, the Financial Industry Regulatory Authority (“FINRA”) announced that it is inviting prospective c... January 22, 2013 Client Update SEC Approves the NYSE and Nasdaq Listing Standards on Compensation Committees and Advisers On January 11, 2013, the SEC approved the NYSE and Nasdaq listing standards, as amended, to implement the SEC’s requirem... Load More
May 31, 2013 Client Update SEC Issues Guidance on Conflict Minerals On May 30 the staff of the Securities and Exchange Commission issued interpretive guidance on the SEC’s new conflict min...
May 16, 2013 Client Update SEC Proposes Cross-Border Security-Based Swap Rules On May 1, 2013, the Securities and Exchange Commission took long-awaited action to propose rules governing cross-border ac...
May 3, 2013 Client Update Compensation Committee and Adviser Implementation Begins July 1: What to Do Now As discussed in our previous memo, in January 2013, the SEC approved amendments to the NYSE and Nasdaq listing standards r...
May 2, 2013 Client Update FINRA Releases Additional Guidance Regarding the Use of Pre-Inception Index Performance in Institutional Communications On April 22, 2013, the Financial Industry Regulatory Authority (“FINRA”) issued an Interpretive Letter to ALPS Distrib...
April 30, 2013 Client Update International Organization of Securities Commissions Releases Consultation Report on Regulation of Retail Structured Products A working group of the International Organization of Securities Commissions (IOSCO), the Madrid-based international policy...
April 15, 2013 Client Update CFTC Provides Inter-affiliate Swap Clearing and Reporting Relief In advance of swap reporting and clearing deadlines, the CFTC adopted a final rule providing an exemption for inter-affili...
April 4, 2013 Client Update SEC Explains How to Use Social Media for Regulation FD Compliance Regulation FD, adopted by the SEC in 2000, prohibits “selective disclosure” by requiring public companies to disclose ...
February 20, 2013 Client Update Delaware Court of Chancery Declines to Dismiss Claims Against U.S. Independent Directors for Failure to Monitor China-Based Company In a bench ruling issued on February 6 in In re Puda Coal, Inc. Stockholders Litig., the Delaware Court of Chancery declin...
January 23, 2013 Client Update FINRA Issues Voluntary Interim Form for Crowdfunding Portals On January 10, 2013, the Financial Industry Regulatory Authority (“FINRA”) announced that it is inviting prospective c...
January 22, 2013 Client Update SEC Approves the NYSE and Nasdaq Listing Standards on Compensation Committees and Advisers On January 11, 2013, the SEC approved the NYSE and Nasdaq listing standards, as amended, to implement the SEC’s requirem...