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The FDIC and the OCC approved final amendments to the original Volcker Rule regulations, which were first adopted in December 2013. The Federal Reserve, SEC and CFTC are expected to appr...
On September 3, the United States District Court for the Eastern District of New York unsealed an order ruling that, under certain circumstances, the Mandatory Victims Restitution Act—w...
The SEC staff has changed its policy on issuing no-action letters to companies seeking to exclude a shareholder proposal from a proxy statement. The agency said it may sometimes respond o...
A key feature of many modern credit agreements is an “incremental” or “accordion” provision, which can allow a borrower to increase the aggregate amount of financing available und...
Financial services regulatory reform continues to evolve in 2019. As we observe the changing landscape, here is the Fall Focus Edition of our reference tool, which provides context and s...
As we look forward to fall, we have updated our brief deck summarizing the leadership and staffing changes among federal financial regulators, including announced nominations, confirmatio...
The Federal Trade Commission recently obtained a fine from Third Point LLC and three of its funds for alleged violations of the Hart-Scott-Rodino Antitrust Improvements Act of 1976 that a...
Rules and Regulations
SEC Staff Grants No-Action Relief Allowing Employee Securities Companies Exempt from Registration to Continue Operating without Registration Following a Transfer o...
The Department of Commerce added 46 more non-U.S. affiliates of Huawei Technologies Co., Ltd. to the Bureau of Industry and Security (BIS) Entity List, joining Huawei and 68 of its non-U....