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Rules and Regulations
SEC Proposes to Expand Access to Private Offerings
SEC Proposes Rule Changes for Auditor Independence Requirements
Industry Update
SEC’s National Examinati...
The SEC Office of Compliance Inspections and Examinations (OCIE) recently published observations related to cybersecurity and operational resiliency practices observed in its examinations...
Today, the Federal Trade Commission (FTC) announced revised Hart-Scott-Rodino Act (HSR) reporting thresholds under which transactions will be reportable only if, as a result of such trans...
Last week the SEC issued three new Compliance & Disclosure Interpretations intended to give clarity to last spring’s rule changes that allowed companies to omit discussion of the earlie...
Glass Lewis is currently accepting peer group submissions on its website until next Friday, January 31, 2020, from public companies making proxy filings through July 31, 2020. For all oth...
On January 13, 2020, the U.S. Treasury Department promulgated its final regulations implementing the Foreign Investment Risk Review Modernization Act of 2018 (FIRRMA) to reform the author...
The CFTC’s Division of Swap Dealer and Intermediary Oversight recently issued a statement recognizing that CCOs may face potential timing constraints in implementing the recommendations...
Last week, the House overwhelmingly passed legislation aimed at closing what lawmakers have called a “loophole” for insider trading—corporate insiders trading between the occurrence...
Our UK Corporate Finance Update looks at some of the key developments from the past 12 months in corporate finance law, regulation and practice that are relevant to London-listed companie...
In a welcome move, two recent actions by the Federal Reserve, OCC and FDIC (the Banking Agencies) recognize the increasing role of fund complexes and passive investing. The Banking Agenc...