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We recently published a survey of corporate governance practices adopted by companies in their IPOs
. Our survey concluded that IPO companies continue to adopt charter provisions such as...
On July 13, 2016, the Securities and Exchange Commission (“SEC”) proposed amendments (the “Proposal”) to Rule 606 of Regulation NMS that would require, for the first time, broker-...
In what appears to be the first of its kind, the SEC staff has determined that a company cannot exclude a proposal that a board amend its existing proxy access bylaw on the basis of subst...
In July 18, 2016, FINRA filed with the SEC a proposal that would expand the TRACE reporting rules to require FINRA members to report most transactions in U.S. Treasuries, which include Tr...
SEC Rules and Regulations
SEC Issues Proposed Rule Regarding Adviser Business Continuity and Transition Plans
Industry Update
SEC Division of Investment Management Publishes Business C...
A new MSCI report reviewed 429 large-cap U.S. companies from 2006 to 2015 and found that, on a 10-year cumulative basis, total shareholder returns of those companies whose compensation wa...
A group of twelve CEOs, including JPM, Berkshire Hathaway, GE, GM, Verizon and those from major institutional investors such as Capital Group, BlackRock, Vanguard, StateStreet, T. Rowe Pr...
IN THIS ISSUE:
News and calendar
Clearing of euro-denominated securities
The UK’s anti-money laundering regime
Since the first edition of Lex et Brexit was published two weeks ago,...
As of July 19, 2016, 271 rulemaking deadlines have passed. Of the 271 rulemaking requirements with deadlines that have passed, 210 (77.5%) have been met with finalized rules and rules hav...
Last Wednesday, the SEC issued a proposal aimed at eliminating or updating duplicative, overlapping and obsolete disclosure requirements. The proposal is welcome, but largely technical in...