On December 17, 2014, the SEC proposed rule amendments intended to make it easier for private companies to raise capital, by relaxing existing requirements that would otherwise force them...

Companies contemplating U.S. acquisitions or with existing U.S. investments should be aware of two recent regulatory developments involving notifications to U.S. authorities. The Federal ...

SEC Rules and Regulations SEC Extends No-Action Relief to Three Derivatives Clearing Organizations Regarding Custody Rule Industry Update SEC’s National Examination Program Releases ...

The Securities and Futures Commission (SFC) announced on May 21, 2014 and December 10, 2014 that it had disciplined a Type 6 corporate finance adviser (A), its affiliated Type 1 broker en...

The SEC has issued a statement, which, although no mention of the proxy access proposals is specifically made, addresses the controversy surrounding the SEC staff’s recent decisions to ...

The memorandum addresses today’s announced changes to both the HSR premerger notification filing thresholds and the thresholds that trigger, under Section 8 of the Clayton Act, a prohib...

The SEC announced its Office of Compliance Inspections and Examinations’ (OCIE) priorities for 2015, which focus on three areas: protecting retail investors, especially those saving for...

Vanguard has indicated that they are in the process of adding language to their proxy voting guidelines to communicate their views on proxy access. They intend to conduct outreach to indi...

Deloitte recently published a 127-page report on SEC comment letter trends that companies may find useful as they prepare their annual 10-K disclosures. Recognizing that Keith Higgins and...

According to the Council of Institutional Investors (CII), the 2015 proxy season is off to an “explosive start” because of proxy access. CII announced that it is sending letters to 16...