Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights November 3, 2017 Client Update House Passes Two Bipartisan Bills to Facilitate Securities Offerings Bills Would Expand Testing the Waters, Codify Confidential Submission of Draft Registration Statements and Modify Accredit... November 2, 2017 Client Update New SEC Staff Legal Bulletin Shifts Burden to Boards on Ordinary Business and Economic Relevance Exclusions, Clarifies Proposal by Proxy and Retains Status Quo on Use of Images Yesterday, the SEC Staff issued a new Staff Legal Bulletin (SLB) on shareholder proposals. The most striking impact it wi... November 2, 2017 Client Update FINRA Establishes New Registration and Qualification Requirements FINRA announced that new rules governing the registration and qualification of member firms’ associated persons will bec... November 1, 2017 Client Update New York City Commission on Human Rights Salary History Law The New York City Commission on Human Rights (CCHR) enacted Local Law 67 in May 2017, which prohibits employers from inqui... October 31, 2017 Client Update Investment Management Regulatory Update - October 2017 Industry Update SEC Announces Cybersecurity Enforcement Initiatives SEC Chairman Issues Statement on Cybersecurity ESG in... October 31, 2017 Client Update Private Equity Regulatory Update - October 2017 Industry Update SEC Announces Cybersecurity Enforcement Initiatives SEC Chairman Issues Statement on Cybersecurity ESG in... October 30, 2017 Client Update SEC Division of Enforcement Co-Directors Stephanie Avakian and Steven Peikin Provide Remarks on Enforcement Division’s Initiatives and Priorities On October 26, 2017, Stephanie Avakian and Steven Peikin, Co-Directors of the U.S. Securities and Exchange Commission’s ... October 30, 2017 Client Update Treasury Asset Management and Insurance Report Makes Three Recommendations Tied to the Volcker Rule Buried in the latest Treasury Report, the third in a series, are important gems on the Volcker Rule and on the concept of ... October 27, 2017 Client Update ISS Requests Public Comments on a Few of the Policies to be Updated for 2018 ISS is seeking public comment on three policies that will impact U.S. companies with the comment period to close on Novemb... October 25, 2017 Client Update SEC Approves PCAOB Rule Expanding Auditor’s Report On October 23, the SEC approved a new PCAOB audit standard that requires the auditor’s report to identify and discuss cr... Load More
November 3, 2017 Client Update House Passes Two Bipartisan Bills to Facilitate Securities Offerings Bills Would Expand Testing the Waters, Codify Confidential Submission of Draft Registration Statements and Modify Accredit...
November 2, 2017 Client Update New SEC Staff Legal Bulletin Shifts Burden to Boards on Ordinary Business and Economic Relevance Exclusions, Clarifies Proposal by Proxy and Retains Status Quo on Use of Images Yesterday, the SEC Staff issued a new Staff Legal Bulletin (SLB) on shareholder proposals. The most striking impact it wi...
November 2, 2017 Client Update FINRA Establishes New Registration and Qualification Requirements FINRA announced that new rules governing the registration and qualification of member firms’ associated persons will bec...
November 1, 2017 Client Update New York City Commission on Human Rights Salary History Law The New York City Commission on Human Rights (CCHR) enacted Local Law 67 in May 2017, which prohibits employers from inqui...
October 31, 2017 Client Update Investment Management Regulatory Update - October 2017 Industry Update SEC Announces Cybersecurity Enforcement Initiatives SEC Chairman Issues Statement on Cybersecurity ESG in...
October 31, 2017 Client Update Private Equity Regulatory Update - October 2017 Industry Update SEC Announces Cybersecurity Enforcement Initiatives SEC Chairman Issues Statement on Cybersecurity ESG in...
October 30, 2017 Client Update SEC Division of Enforcement Co-Directors Stephanie Avakian and Steven Peikin Provide Remarks on Enforcement Division’s Initiatives and Priorities On October 26, 2017, Stephanie Avakian and Steven Peikin, Co-Directors of the U.S. Securities and Exchange Commission’s ...
October 30, 2017 Client Update Treasury Asset Management and Insurance Report Makes Three Recommendations Tied to the Volcker Rule Buried in the latest Treasury Report, the third in a series, are important gems on the Volcker Rule and on the concept of ...
October 27, 2017 Client Update ISS Requests Public Comments on a Few of the Policies to be Updated for 2018 ISS is seeking public comment on three policies that will impact U.S. companies with the comment period to close on Novemb...
October 25, 2017 Client Update SEC Approves PCAOB Rule Expanding Auditor’s Report On October 23, the SEC approved a new PCAOB audit standard that requires the auditor’s report to identify and discuss cr...