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As has been widely mentioned by SEC Commissioners and Staff, the Staff has been undertaking a broad-based review of disclosure requirements, known as the Disclosure Effectiveness Initiati...
The New York Stock Exchange has amended its rules regarding the public release of material information, which will become operative on September 28. Most significantly, the amendments to ...
Those following the latest developments on proxy access may be interested in Jim McRitchie’s recent blog post, where he posted the language of a new version of proxy access that he is s...
SEC Rules and Regulations
BEA Releases New Benchmark Survey for Financial Services Providers, Including Managers of Hedge, Private Equity and Other Private Funds and Separate Accounts
SE...
Constitutional attacks against the Securities Exchange Commission’s (the “SEC”) use of administrative proceedings have grown in strength as securities respondents across the country...
The importance of the retail shareholder vote came out in force this past season, as 85% of retail shares were cast against proxy access shareholder proposals at over 80 companies. At the...
The U.S. Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) recently published a Notice of Proposed Rulemaking (the “Proposed Rule”)1 that would extend...
The SEC’s recent concept release on possible revisions to audit committee disclosure has ignited debate about whether additional information, and the type of information, that would be ...
The U.S. Court of Appeals for the Second Circuit issued a significant opinion last week, reversing a lower court decision and extending the whistleblower anti-retaliation provisions of th...
Yesterday, Deputy Attorney General Sally Quillian Yates gave a speech concerning the Department of Justice’s guidance memorandum issued on September 9, 2015 that further underscores DOJ...