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Continuing the trend of Congressional attention to U.S. capital requirements for banking organizations, the United States House of Representatives has passed a bill that seeks to address ...
The past few days have seen several interesting developments in the law and regulation of digital tokens. Each action reflects an intense focus by U.S. regulators to clarify the treatmen...
The Chief Investment Officer of State Street Global Advisor (SSGA) has sent letters to board chairs and lead directors at S&P 500 companies requesting that they report on their compliance...
U.S. public companies recently began disclosing their CEO-to-median employee pay ratios, as required by the Dodd-Frank Act and Item 402(u) of Regulation S-K. It is still too early to dra...
NYSE-listed companies that file proxy materials under Schedule 14A so that the materials are available on Edgar will no longer have to send hard copies to the NYSE.
The NYSE had proposed ...
Rules and Regulations
SEC Grants No-Action Relief to Great Ajax Funding LLC Under Section 3(c)(5)(C) of the Investment Company Act to Permit Treatment of Interests in Securitization Trus...
Industry Update
SEC’s National Examination Program Releases Examination Priorities for 2018
SEC Releases Diversity Assessment Tool for SEC Regulated Entities
Litigation
SEC Charges F...
In December 2017, the market greeted with great interest the Consultation Conclusions to the Hong Kong Stock Exchange’s New Board Concept Paper containing a blueprint for opening up the...
On February 21, 2018, in Digital Realty Trust, Inc. v. Somers, [1] the Supreme Court held that the Dodd-Frank Act’s whistleblower anti-retaliation provisions only apply where a securiti...