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On September 18, 2013, the SEC adopted a final rule (the “Final Rule”) establishing a permanent registration scheme to replace the temporary registration scheme for municipal advisors...
As the fiscal year comes to a close—even while the Securities and Exchange Commission, amidst the government shutdown, continues to fund its operations through a carryover balance from ...
On September 30, 2013, the Securities and Exchange Commission issued a staff response to Frequently Asked Questions (“FAQ”) regarding the role and duties of the Chief Compliance Offic...
TheCorporateCounsel.net hosted a Spreecast with Davis Polk’s Joe Hall and re: The Auditors’ Francine McKenna focused on the PCAOB’s new audit report proposal, which we address in th...
On September 18, 2013, the Securities and Exchange Commission adopted its final rule on the permanent registration of municipal advisors. The final rule replaces the current temporary reg...
In the past month, no rulemaking requirement deadlines passed, five rulemaking requirements were proposed and one rule was finalized to meet a rulemaking requirement.
As of October 1, 20...
ISS has been commissioned by the IRRC Institute to update its 2011 research on shareholder engagement. A survey is available here and open to corporate issuers and investors. The survey c...
Crediting a whistleblower with providing information that led to recovery of substantial investor funds, the SEC announced that it has awarded a whistleblower more than $14 million. This ...
Since the SEC rules were struck down in 2011, proxy access shareholder proposals have not disrupted the corporate governance landscape as many had feared, but they are slowly gaining mome...
Comments on the SEC pay ratio rule proposal are due on December 2. Fifty-seven short letters from individuals have already been submitted and made public as of September 24. They do not ...