The SEC recently approved a FINRA proposal to establish a new limited membership category for broker-dealers engaged solely in certain corporate financing advisory and capital raising act...

73% of the shareholders at large-cap companies and 77% of those at mid-cap companies are institutional investors, according to the latest edition of ProxyPulse, a joint publication by Bro...

Yesterday, the Federal Reserve, OCC and FDIC issued the long-expected report to Congress and the FSOC, as required under section 620 of the Dodd-Frank Act, regarding activities and invest...

Most companies filing reports on their use of conflict minerals remain unable to confirm their origin or whether those minerals financed or benefited armed groups, concluded a GAO report ...

IN THIS ISSUE: Introduction Brexit and anti-trust Prospects for the Prospectus Directive As we go to press, the UK cabinet is finally beginning the serious business of drawing up its ?...

Yesterday, the SEC proposed rules that would require companies to include a hyperlink to each exhibit listed in registration statements and periodic and current reports, including among o...

Today, the Ninth Circuit issued an opinion in SEC v. Jensen.  The court held that Rule 13a-14 of the Securities Exchange Act confirms that the SEC has a cause of action against CEOs and C...

The SEC released an 8-page request for comments to ask for input on Subpart 400 of Regulation S-K, including Item 401 (director and officer information), Item 402 (executive compensation)...

A new report from the Rock Center for Corporate Governance with the provocative title “Gadflies at the Gate” tries to answer the question so many companies have asked themselves:  Why...

SEC Rules and Regulations SEC Staff Grants No-Action Relief under Section 12(d)(3) of the Investment Company Act to the AFL-CIO Housing Investment Trust to Organize and Acquire the Secur...