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Rules and Regulations
SEC Proposes to Exempt Certain “Finders” from Broker-Dealer Registration Requirements
Industry Update
Dalia Blass Keynote Address at the Investment Company I...
The Financial Crimes Enforcement Network (FinCEN) and the Federal Reserve Board (together the Agencies) last week proposed amendments (the Proposed Rules) to the Travel Rule regulations a...
The Office of the Comptroller of the Currency (OCC) has finalized a rule (Final Rule) establishing a bright-line test for determining the true lender of a loan. The Final Rule is intende...
The banking sector is both regulated and supervised, a key difference between banking and the rest of the regulated sectors in the economy. Supervision happens behind the veil of confide...
On October 17, 2020, the National People’s Congress Standing Committee adopted the Export Control Law of the People’s Republic of China (the “PRCECL”) within a year after the firs...
The Federal Deposit Insurance Corporation (FDIC) has taken another important step to increase transparency and accountability in the supervisory process by proposing amendments to its exi...
On October 15, 2020, ISS released a series of preliminary FAQs on its approach to analyzing pay decisions relating to the COVID-19 pandemic. These FAQs provide general guidance on how ISS...
Below is a link to our latest report on developments in IP, data privacy and cybersecurity law. In this issue, we discuss a variety of recent IP-related court decisions, developments at t...
In a first-of-its-kind case, the SEC focused on a company’s accounting controls around Rule 10b5-1 buybacks and imposed a $20 million fine. The novel theory in the case highlights the n...
A divided SEC voted last week to issue a Proposed Exemptive Order (the Proposal) that would, if adopted, permit natural person “finders” to engage in certain private capital raising a...