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Rules and Regulations
SEC Modernizes the Delivery of Fund Reports and Seeks Public Feedback on Improving Fund Disclosure and Fees Related to Forwarding Fund Materials
SEC Proposes FAIR A...
On June 27, 2018, the U.S. Treasury Department’s Office of Foreign Assets Control (“OFAC”) announced amendments to the Iranian Transactions and Sanctions Regulations (“ITSR”), 3...
The Supreme Court’s opinion in Lucia v. SEC, holding that SEC ALJs qualify as Officers of the United States under the Constitution and are therefore subject to the Appointments Clause o...
Arguments surrounding the constitutionality of the CFPB’s structure, never fully put to rest despite the D.C. Circuit’s en banc decision in PHH v. CFPB, are back in the headlines this...
Not enough attention has been paid to the FFIEC’s policy announcement on enforcement which is, we hope, the first step toward fundamental change. The Policy Statement on Interagency No...
One of the most high-profile proxy contests to use a universal proxy card ended on Tuesday, with some last-minute drama thrown in.
The board of SandRidge was engaged in a proxy contest wi...
On 8 June 2018 the UK Financial Conduct Authority announced that it is taking forward its proposals to establish a new premium listing category exclusively for sovereign-controlled commer...
This visual memorandum describes the proposed amendments to the Volcker Rule regulations issued by the Federal Reserve, FDIC, OCC, SEC and CFTC, as well as key requests for comment about ...
In connection with Margaret E. Tahyar’s participation in the 2018 Prudential Regulation Conference to be hosted by SIFMA and The Clearing House in Washington, D.C. on June 19, 2018, we ...