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On Friday, December 6, 2019, New York Governor Andrew M. Cuomo signed legislation enacting the Uniform Voidable Transactions Act (“NY UVTA”) and repealing Article 10 (§§ 270-281) of...
To help guide public companies in preparing their annual reports and proxy statements for the 2020 season, we examined the climate change and human capital management disclosures that hav...
Assistant Attorney General Brian Benczkowski, the head of DOJ’s Criminal Division, recently gave a speech in which he clarified that DOJ will not automatically seek to impose agency lia...
The SEC today rejected the proposed NYSE rule change that would have permitted companies to raise capital in a direct listing. The NYSE has confirmed that it plans to revise and resubmit...
For hemp-related customers, banks no longer need to file suspicious activity reports according to a guidance statement issued by the Federal Reserve, FDIC, OCC and FinCEN, in consultation...
The Department of Justice (“DOJ”) modified its Corporate Enforcement Policy to clarify what level of disclosure is expected from companies in the early stages of an investigation. In...
As we previously discussed, ISS recently released its U.S. Preliminary Compensation Policies FAQ, which provides interested parties an advance view of ISS’ answers to select questions p...
In a November 25, 2019 release, the SEC proposed a substantially revised version of proposed new Rule 18f-4 under the Investment Company Act of 1940, which was originally proposed on Dece...
Rules and Regulations
SEC Proposes Amendments to Modernize the Advertising and Cash Solicitation Rules
SEC Proposes Rules to Regulate Proxy Advisory Firms and Shareholder Proposals
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The NYSE has filed a proposed rule change with the Securities and Exchange Commission that would permit companies to raise capital in a direct listing. Under the proposed rule change, an ...