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Rules and Regulations
SEC Withdraws Two No-Action Letters Ahead of November Roundtable
Industry Update
Statement on Investor Roundtables Regarding Standards of Conduct for Investmen...
Industry Update
SEC Chairman Gives Remarks on Capital Formation
Litigation
Regulators Step Up Enforcement on Crypto Firms
SEC Resolves FCPA Allegations Against U.S.-Based Investme...
Davis Polk has submitted a comment letter on the SEC’s Concept Release on Compensatory Securities Offerings under Rule 701 and Form S-8. Our comment letter focuses on expanding the scop...
Davis Polk is pleased to provide you with the next installment of its Intellectual Property and Tech Transactions Update, a quarterly newsletter that features summaries and analysis of re...
The past two weeks have seen a number of developments with respect to U.S. sanctions relating to Russia, as the Trump administration has (1) taken additional steps to ameliorate adverse c...
SeaWorld and two of its former executives, including the CEO, agreed to pay more than $5 million to settle fraud charges. The SEC alleged that the company failed to inform investors abou...
As we head into the mid-term election season, we have updated our brief deck summarizing the leadership and staffing changes among federal financial regulators, including announced nomina...
The Trump Administration took two actions this month in its efforts to reverse the Obama administration’s climate change agenda: the United States Environmental Protection Agency’s (E...
The SEC announced that the staff will host a roundtable on the proxy process on November 15. The participants, time and the formal agenda has not yet been released.
The roundtable is exp...
The regulation and operations of virtual currency exchanges are again in the spotlight, due to the new report issued by the Office of the New York Attorney General (OAG). The report, whi...