Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights December 17, 2014 Client Update Swaps Pushout Provision Amended: Pushout Requirement in Section 716 Now Limited to Certain ABS Swaps On December 16, 2014, the President signed into law an amendment to Section 716 of the Dodd-Frank Act (known as the “Swa... December 16, 2014 Client Update NYSE Proposes to Amend Its Listing Standards Related to Delinquent Filings The NYSE has proposed to amend its listing requirements related to a company filing delinquent reports with the SEC. The p... December 16, 2014 Client Update Investment Management Regulatory Update - December 2014 SEC Rules and Regulations SEC Issues Exemptive Relief for Non-Transparent ETMFs SEC Staff Responds to Questions About ... December 15, 2014 Client Update FINRA Settles with Wall Street Banks; Provides New Views on Research Analyst Communications During "Solicitation Period" Last week, the Financial Industry Regulatory Authority entered into settlement agreements with a number of the major banki... December 12, 2014 Client Update SEC Defends Conflict Minerals Disclosure as Case Continues As requested by the D.C. Circuit Court of Appeals on the conflict minerals case, the SEC has filed a brief addressing the ... December 12, 2014 Client Update Preparing Your 2014 Form 20-F This memorandum highlights some considerations for the preparation of your 2014 annual report on Form 20-F. As in previous... December 11, 2014 Client Update FINRA Proposes to Amend Existing Equity Research Rules and Establish New Debt Research Rule The Financial Industry Regulatory Authority recently filed with the Securities and Exchange Commission a proposal to conso... December 11, 2014 Client Update Insider Trading: U.S. Court of Appeals (Second Circuit) Vacates Convictions, Clarifies Requirements of Tippee Liability On December 10, 2014, the U.S. Court of Appeals for the Second Circuit held that to obtain an insider trading conviction a... December 11, 2014 Client Update United Kingdom’s “Google Tax” – Government Unveils Draft Rules The UK Government published this week details of a new 25% “diverted profits” tax, which aims to counter cross-border ... December 11, 2014 Client Update FINRA Proposes to Amend Existing Equity Research Rules and Establish New Debt Research Rule The Financial Industry Regulatory Authority recently filed with the Securities and Exchange Commission a proposal to conso... Load More
December 17, 2014 Client Update Swaps Pushout Provision Amended: Pushout Requirement in Section 716 Now Limited to Certain ABS Swaps On December 16, 2014, the President signed into law an amendment to Section 716 of the Dodd-Frank Act (known as the “Swa...
December 16, 2014 Client Update NYSE Proposes to Amend Its Listing Standards Related to Delinquent Filings The NYSE has proposed to amend its listing requirements related to a company filing delinquent reports with the SEC. The p...
December 16, 2014 Client Update Investment Management Regulatory Update - December 2014 SEC Rules and Regulations SEC Issues Exemptive Relief for Non-Transparent ETMFs SEC Staff Responds to Questions About ...
December 15, 2014 Client Update FINRA Settles with Wall Street Banks; Provides New Views on Research Analyst Communications During "Solicitation Period" Last week, the Financial Industry Regulatory Authority entered into settlement agreements with a number of the major banki...
December 12, 2014 Client Update SEC Defends Conflict Minerals Disclosure as Case Continues As requested by the D.C. Circuit Court of Appeals on the conflict minerals case, the SEC has filed a brief addressing the ...
December 12, 2014 Client Update Preparing Your 2014 Form 20-F This memorandum highlights some considerations for the preparation of your 2014 annual report on Form 20-F. As in previous...
December 11, 2014 Client Update FINRA Proposes to Amend Existing Equity Research Rules and Establish New Debt Research Rule The Financial Industry Regulatory Authority recently filed with the Securities and Exchange Commission a proposal to conso...
December 11, 2014 Client Update Insider Trading: U.S. Court of Appeals (Second Circuit) Vacates Convictions, Clarifies Requirements of Tippee Liability On December 10, 2014, the U.S. Court of Appeals for the Second Circuit held that to obtain an insider trading conviction a...
December 11, 2014 Client Update United Kingdom’s “Google Tax” – Government Unveils Draft Rules The UK Government published this week details of a new 25% “diverted profits” tax, which aims to counter cross-border ...
December 11, 2014 Client Update FINRA Proposes to Amend Existing Equity Research Rules and Establish New Debt Research Rule The Financial Industry Regulatory Authority recently filed with the Securities and Exchange Commission a proposal to conso...