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The SEC recently alleged that yet another company violated the whistleblower rules with its standard separation agreement, but the order in the case also noted several positive actions ta...
On January 17, 2017, the Department of Justice (“DOJ”) announced that British multinational manufacturer Rolls-Royce plc (“Rolls-Royce” or the “Company”) had entered into a De...
SEC Rules and Regulations
SEC Staff Grants No-Action Relief under Section 17(e) of the Investment Company Act to Russell Investment Management, LLC to Utilize Affiliate Broker-Dealer to ...
Early press accounts of President Trump’s regulatory moratorium are highly misleading for financial sector regulations. On Friday, White House Chief of Staff Reince Priebus issued a me...
Yesterday, 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 t...
On January 13, 2017, the Supreme Court granted certiorari in Kokesh v. SEC to resolve a circuit split on the issue of whether the five-year statute of limitations in 28 U.S.C. § 2462—w...
On January 6, 2017, Congressman Joe Wilson (R-SC) introduced in the House the Protecting American Families’ Retirement Advice Act, which would delay the effective date of the DOL Fiduci...
The Council of Institutional Investors has published an FAQ on majority voting for directors in which it advocates for “consequential majority voting,” a form of majority voting in di...
Last week, the House of Representatives passed three bills containing provisions that would require certain of the financial regulatory agencies to conduct cost-benefit analysis as part o...