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In its ongoing effort to revise and consolidate rules governing members’ communications with retail and institutional investors, the Financial Industry Regulatory Authority, Inc. recent...
This memorandum highlights some considerations for the preparation of 2011 annual reports on Form 20-F and certain other U.S.-related regulatory actions and developments of interest to fo...
The CFTC has adopted two final rules - a Swap Data Reporting Rule and a Real-Time Reporting Rule - that, in less than a fully coordinated manner, establish the new Dodd-Frank Act reportin...
As 2011 neared a close, ISS announced that it will update its Governance Risk Indicators (called GRId 2.0) on February 24, 2012 to score all Russell 3000 companies. For the first time, a...
In December, ISS issued a whitepaper providing further guidance on its new pay-for-performance review framework first introduced in its 2012 proxy voting guidelines update (effective for ...
The SEC will no longer permit defendants who admit relevant conduct in parallel criminal proceedings to “neither admit nor deny” that conduct in settlement orders.
The SEC has had a ...
The SEC Corporate Finance staff has issued CF Disclosure Guidance: Topic No. 4 to address its concerns about financial institutions’ disparate disclosures related to their direct and in...
In this Report:
As of the end of 2011, deadlines for half of Dodd-Frank’s rulemaking requirements have passed. 25.5% of the passed deadlines have been met with finalized rules.
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As we remarked back in August 2011, the SEC website with its rulemaking schedule on Dodd-Frank initiatives is changed with little notice, as it has been again. Back in August 2011 we eve...
In an apparent attempt to address delay and cost in the restructuring process, a provision of the Bankruptcy Abuse Prevention and Consumer Protection Act of 2005 (BAPCPA) has imposed an u...