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NYSE listed companies are currently required to notify the Exchange before disseminating material news so that it can halt trading if needed. Now the NYSE has proposed, in a rule filing w...
ISS counts Tempur Sealy as among the 28 proxy contests during the first six months of 2015, the busiest period for contests since 2009, even though the dissidents waged a “vote no” ca...
The SEC Office of Economic and Risk Analysis has made available on its website a lengthy working paper on proxy access, specifically on the trade-offs between universal proxy access throu...
FINRA recently adopted amendments to its equity research rules and an entirely new debt research rule. Among other things, the new equity rule permits firms to adopt shorter minimum resea...
The Federal Trade Commission (“FTC”) and the United States Department of Justice (“DOJ”) on Monday reached a settlement with fund management company Third Point LLC and its affili...
On August 5, 2015, the SEC unanimously adopted final rules and forms for the registration of security-based swap dealers and major security-based swap participants. The final rules draw ...
SEC Rules and Regulations
SEC Issues No Action Relief to Business Development Company Structured as Master-Feeder
Industry Update
Interagency Volcker Rule FAQ #16 Addresses Treatment o...
Our memo on the court’s decision upholding its ruling on the SEC’s conflict minerals disclosure is here.
EY’s recent analysis of the second year of conflict minerals reporting concl...
In the ongoing challenge to the SEC’s conflict minerals rule, the D.C. Circuit Court of Appeals, in a 2-1 decision, issued an opinion on August 18 upholding its April 2014 finding that ...
The Federal Trade Commission commits to weighing costs and benefits of conduct at issue before bringing actions against “unfair methods of competition” under Section 5 of the FTC Act,...