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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,...
“Remember what we learned in school. Acquiescing to bullies only gives them more ammunition and makes it worse.”
Those were part of Commissioner Piwowar’s passionate remarks during ...
On July 14, 2015, the permanent members of the UN Security Council plus Germany (the “P5+1”), the High Representative of the European Union (“EU”) for Foreign Affairs and Security...
On August 5, 2015, in a 3-2 vote, the SEC adopted a final rule implementing the provision of the Dodd-Frank Act that requires U.S. public companies to disclose the ratio of their CEO’s ...