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Although the SEC permitted Whole Foods to exclude a shareholder proposal asking the board to amend its bylaws to allow for proxy access on the basis of a conflicting management proposal t...
The FAQs issued by ISS on its new Equity Plan Scorecard (EPSC) model indicate that the revised model will consider, and score, a range of positive and negative factors, rather than use a ...
ISS recently issued new FAQs on its 2015 policy updates. As we discussed in our memo, a key change relates to how ISS will make recommendations for companies with shareholder proposals se...
RR Donnelley’s survey from last year on how investors view proxy statements continues to be worth considering now, as companies begin preparing their public disclosure documents for the...
On Friday, December 19, 2014, the Delaware Supreme Court reversed a preliminary injunction entered by the Delaware Court of Chancery which had (a) barred, for 30 days, a stockholder vote ...
Professor Joseph Grundfest of Stanford Law School and SEC Commissioner Daniel Gallagher have co-authored an academic paper with the provocative title “Did Harvard Violate Federal Securi...
On December 16, 2014, the President signed into law an amendment to Section 716 of the Dodd-Frank Act (known as the “Swaps Pushout Rule” or the “Lincoln Amendment”) as part of a $...
SEC Rules and Regulations
SEC Issues Exemptive Relief for Non-Transparent ETMFs
SEC Staff Responds to Questions About Form PF
Industry Update
SEC Chair Discusses Risk Monitoring ...
The NYSE has proposed to amend its listing requirements related to a company filing delinquent reports with the SEC. The proposal expands the NYSE’s existing late filer rule to include ...
Last week, the Financial Industry Regulatory Authority entered into settlement agreements with a number of the major banking firms in response to allegations that their equity research an...