Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights November 16, 2010 Articles & Books Comments on Subtitle E of Title IX–Accountability and Executive Compensation under the Dodd-Frank Wall Street Reform and Consumer Protection Act We are submitting this letter in response to the solicitation by the Securities and Exchange Commission (the “Commission... November 16, 2010 Articles & Books Comments on Proposed Rules Relating to Shareholder Approval of Executive Compensation and Golden Parachute Compensation (the “Proposal”) We are submitting this letter in response to the solicitation by the Securities and Exchange Commission (the “Commission... November 12, 2010 Client Update CFTC Proposes Swap Dealer and Major Swap Participant Rules At an open meeting on November 10, the CFTC proposed four rules regarding regulation of, and registration requirements for... November 12, 2010 Client Update Investment Management Regulatory Update - November 2010 SEC Rules and Regulations SEC Proposes Rule Defining “Family Offices” under the Dodd-Frank Act SEC Requests Comme... November 12, 2010 Client Update CFTC Proposes Swap Dealer and Major Swap Participant Rules At an open meeting on November 10, the CFTC proposed four rules regarding regulation of, and registration requirements for... November 12, 2010 Client Update CFTC Proposes Swap Dealer and Major Swap Participant Rules At an open meeting on November 10, the CFTC proposed four rules regarding regulation of, and registration requirements for... November 5, 2010 Client Update SEC Limits Direct Market Access On November 3, 2010, the SEC adopted Rule 15c3-5, which effectively prohibits “naked access” to the securities markets... November 5, 2010 Client Update SEC Limits Direct Market Access On November 3, 2010, the SEC adopted Rule 15c3-5, which effectively prohibits “naked access” to the securities markets... November 4, 2010 Client Update SEC Proposes Whistleblower Rules Yesterday the SEC announced and issued proposed rules that would implement the whistleblower provisions of the Dodd-Frank ... November 3, 2010 Client Update MSRB Extends Application of Its Rules and Registration to Municipal Advisors The MSRB filed on November 1, 2010 several proposed rule changes with the SEC that will require municipal advisors, as def... Load More
November 16, 2010 Articles & Books Comments on Subtitle E of Title IX–Accountability and Executive Compensation under the Dodd-Frank Wall Street Reform and Consumer Protection Act We are submitting this letter in response to the solicitation by the Securities and Exchange Commission (the “Commission...
November 16, 2010 Articles & Books Comments on Proposed Rules Relating to Shareholder Approval of Executive Compensation and Golden Parachute Compensation (the “Proposal”) We are submitting this letter in response to the solicitation by the Securities and Exchange Commission (the “Commission...
November 12, 2010 Client Update CFTC Proposes Swap Dealer and Major Swap Participant Rules At an open meeting on November 10, the CFTC proposed four rules regarding regulation of, and registration requirements for...
November 12, 2010 Client Update Investment Management Regulatory Update - November 2010 SEC Rules and Regulations SEC Proposes Rule Defining “Family Offices” under the Dodd-Frank Act SEC Requests Comme...
November 12, 2010 Client Update CFTC Proposes Swap Dealer and Major Swap Participant Rules At an open meeting on November 10, the CFTC proposed four rules regarding regulation of, and registration requirements for...
November 12, 2010 Client Update CFTC Proposes Swap Dealer and Major Swap Participant Rules At an open meeting on November 10, the CFTC proposed four rules regarding regulation of, and registration requirements for...
November 5, 2010 Client Update SEC Limits Direct Market Access On November 3, 2010, the SEC adopted Rule 15c3-5, which effectively prohibits “naked access” to the securities markets...
November 5, 2010 Client Update SEC Limits Direct Market Access On November 3, 2010, the SEC adopted Rule 15c3-5, which effectively prohibits “naked access” to the securities markets...
November 4, 2010 Client Update SEC Proposes Whistleblower Rules Yesterday the SEC announced and issued proposed rules that would implement the whistleblower provisions of the Dodd-Frank ...
November 3, 2010 Client Update MSRB Extends Application of Its Rules and Registration to Municipal Advisors The MSRB filed on November 1, 2010 several proposed rule changes with the SEC that will require municipal advisors, as def...