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A new no-action letter from the SEC staff substantially revises the rules applicable to shortened debt tender offers and expands their utility. The new rules may also portend changes in p...
Davis Polk partner Ed FitzGerald and I spoke in December with Tapestry’s Compensation Committee Leadership Network (CCLN) on forthcoming SEC executive compensation rules, as summarized ...
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...