Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights June 22, 2011 Client Update SEC Approves New FINRA Rule Requiring the Qualification and Registration of Operations Professionals On June 16, 2011, the SEC approved new FINRA Rule 1230(b)(6), that will require, for the first time, that persons with sup... June 21, 2011 Client Update Large Accelerated Filer Announces Triennial Frequency in Face of Majority Support for Annual The Dodd-Frank frequency vote is of course “nonbinding”, but companies that have “lost” the vote for triennial fre... June 17, 2011 Client Update CFTC and SEC Act to Defer Dodd-Frank Swaps Requirements The CFTC and SEC took actions this week that are expected to defer most Dodd-Frank requirements regulating swaps and secur... June 17, 2011 Client Update CFTC and SEC Act to Defer Dodd-Frank Swaps Requirements The CFTC and SEC took actions this week that are expected to defer most Dodd-Frank requirements regulating swaps and secur... June 17, 2011 Client Update CFTC and SEC Act to Defer Dodd-Frank Swaps Requirements The CFTC and SEC took actions this week that are expected to defer most Dodd-Frank requirements regulating swaps and secur... June 13, 2011 Client Update Supreme Court Limits False Statement Liability Under Rule 10b-5 To Those Who Actually Make Misstatements On June 13, 2011, the U.S. Supreme Court issued an important decision clarifying the scope of liability for “making” f... June 10, 2011 Client Update Investment Management Regulatory Update - June 2011 SEC Rules and Regulations * SEC Proposes Rule on Disqualification of “Bad Actors” from Rule 506 Offerings Industry ... June 9, 2011 Client Update SEC Adopts Rule on Beneficial Ownership of Security-Based Swaps The SEC has readopted portions of Rules 13d-3 and 16a-1 to ensure that its current beneficial ownership definition, which ... June 9, 2011 Client Update Delaware Court Upholds 150-Day Advance Notice Requirement in Proxy Statement The Delaware Chancery Court recently rejected a challenge to an advance notice requirement for shareholder proposals that ... June 9, 2011 Client Update SEC Adopts Rule on Beneficial Ownership of Security-Based Swaps The SEC has readopted portions of Rules 13d-3 and 16a-1 to ensure that its current beneficial ownership definition, which ... Load More
June 22, 2011 Client Update SEC Approves New FINRA Rule Requiring the Qualification and Registration of Operations Professionals On June 16, 2011, the SEC approved new FINRA Rule 1230(b)(6), that will require, for the first time, that persons with sup...
June 21, 2011 Client Update Large Accelerated Filer Announces Triennial Frequency in Face of Majority Support for Annual The Dodd-Frank frequency vote is of course “nonbinding”, but companies that have “lost” the vote for triennial fre...
June 17, 2011 Client Update CFTC and SEC Act to Defer Dodd-Frank Swaps Requirements The CFTC and SEC took actions this week that are expected to defer most Dodd-Frank requirements regulating swaps and secur...
June 17, 2011 Client Update CFTC and SEC Act to Defer Dodd-Frank Swaps Requirements The CFTC and SEC took actions this week that are expected to defer most Dodd-Frank requirements regulating swaps and secur...
June 17, 2011 Client Update CFTC and SEC Act to Defer Dodd-Frank Swaps Requirements The CFTC and SEC took actions this week that are expected to defer most Dodd-Frank requirements regulating swaps and secur...
June 13, 2011 Client Update Supreme Court Limits False Statement Liability Under Rule 10b-5 To Those Who Actually Make Misstatements On June 13, 2011, the U.S. Supreme Court issued an important decision clarifying the scope of liability for “making” f...
June 10, 2011 Client Update Investment Management Regulatory Update - June 2011 SEC Rules and Regulations * SEC Proposes Rule on Disqualification of “Bad Actors” from Rule 506 Offerings Industry ...
June 9, 2011 Client Update SEC Adopts Rule on Beneficial Ownership of Security-Based Swaps The SEC has readopted portions of Rules 13d-3 and 16a-1 to ensure that its current beneficial ownership definition, which ...
June 9, 2011 Client Update Delaware Court Upholds 150-Day Advance Notice Requirement in Proxy Statement The Delaware Chancery Court recently rejected a challenge to an advance notice requirement for shareholder proposals that ...
June 9, 2011 Client Update SEC Adopts Rule on Beneficial Ownership of Security-Based Swaps The SEC has readopted portions of Rules 13d-3 and 16a-1 to ensure that its current beneficial ownership definition, which ...