Rules and Regulations SEC Proposes Whistleblower Rule Amendments Industry Update SEC Releases Strategic Plan for Fiscal Years 2018-2022 Litigation SEC Charges New York-based Investme...

The Treasury Department published its fourth and final report in response to President Trump’s 2017 Executive Order that established core principles for U.S. financial regulation.  The ...

On July 24, 2018, the Securities and Exchange Commission proposed amendments to the financial disclosure requirements in SEC-registered offerings that apply to guarantors and issuers of g...

Earlier this month, the Shareholder Rights Group, which consists of 15 well-known shareholder proponents, issued a report on this proxy season’s no-action letters.  More than half of th...

On July 18, 2018, the Securities and Exchange Commission (SEC) voted unanimously both to issue a final rule and to solicit public comment relating to the federal securities rules that gov...

#MeToo may no longer dominate daily headlines but its indelible impression remains. Corporate boards’ mandate to act in their shareholders’ best interest includes not only overseeing ...

The decision by the United States Court of Appeals for the Fifth Circuit earlier this week in Collins v. Mnuchin holding that the structure of the Federal Housing Finance Agency (FHFA) is...

On July 17, the Ninth Circuit issued a decision holding that an overseas company with unsponsored ADRs trading in the United States on the over-the-counter market can be liable for violat...

Several of the bills marked up recently by the House Financial Services Committee, with all but the last one agreed to by voice vote, impact public companies and IPOs, including: Promoti...

Despite a political agenda packed with important issues like tariffs, immigration and a Supreme Court nomination, there have been a number of recent federal and state legislative developm...