SEC Rules and Regulations SEC Issues Notices of Intent to Issue Orders for Approved FINRA and MSRB Pay-to-Play Rules SEC Adopts Amendments to Form ADV and Advisers Act Rules Litigat...

In the fifth issue of Lex et Brexit (our fortnightly publication on Brexit developments), we examined the impact of Brexit on the prospectus regime in the EU and the implications Brexit m...

The SEC recently found that EY violated the auditor independence rules in two cases based on the audit partners’ close personal relationships with members of the issuer finance teams.  ...

In a closely watched case that has been pending in the federal courts for over a decade—a series of private lawsuits alleging that Chinese manufacturers had colluded to fix prices of vi...

Notable Developments Federal Circuit Rules that District Courts May Consider New Claim Construction in a Motion for Reconsideration Second Circuit Rules DMCA Safe Harbors Protect Pre-197...

Current and former holders of political office are among the many who wrote in to the SEC with comments on its Regulation S-K concept release. Former New York City Mayor Bloomberg, curren...

On 12 September 2016, the UK Takeover Panel published the twelfth edition of the Takeover Code, replacing in its entirety the previous edition published in September 2011 in the wake of K...

Andrew Ceresney, the director of the Division of Enforcement at the SEC, gave a speech recently about the success of the SEC whistleblower program. It contained some interesting data that...

IN THIS ISSUE: Introduction Run for the hills…Swiss-style Brexit EMIR and Brexit Despite a weekend of Brexit brainstorming by the Cabinet at the Prime Minister’s country retreat, w...

While several major SEC disclosure requirements remain in the proposal stage and the pay ratio disclosure does not come into play until the proxy statement for 2018 meetings, companies sh...