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As many of you prepare to file your proxy statements this month, two quick reminders on new developments to keep in mind:
There is no longer a requirement to send the SEC hard copies of ...
On March 1, the SEC announced that foreign private issuers (FPIs) that prepare financial statements under International Financial Reporting Standards (IFRS) must file using eXtensible Bus...
The Fraud Section of the U.S. Department of Justice (“DOJ”) Criminal Division (the “Fraud Section”) recently published an Evaluation of Corporate Compliance Programs (the “Evalu...
The DOL’s proposal, published today, seeks to delay the applicability date of the fiduciary rule for 60 days and solicits comments on the rule’s impact on the financial services indus...
The SEC approved rules yesterday to require issuers to include a hyperlink to the exhibits listed in the exhibit index. This applies to registration statements and reports subject to the ...
Today, March 1, 2017, the Department of Labor (the “DOL”) proposed to delay the applicability date of its fiduciary rule and related prohibited transaction exemptions by 60 days to Ju...
Yesterday, President Trump signed an executive order aimed at reversing the controversial Clean Water Rule, also known as the Waters of the United States (WOTUS) Rule, implemented under t...
During a recent speech on SEC initiatives, Acting SEC Chairman Piwowar invoked the “Forgotten Investor,” as the person who is “dragged” into and “victimized” by someone else?...
SEC Rules and Regulations
SEC Staff Provides Interpretative Guidance that Restrictions of Section 22(d) of the Investment Company Act Do Not Apply to a Broker for Clean Shares
SEC Issues...
On February 15, 2017, the UK Financial Conduct Authority (“FCA”) published a Discussion Paper (DP17/2) seeking feedback on how the UK primary capital markets can most effectively meet...