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The SEC’s recent denial of a request for a whistleblower award reinforces its earlier decision in a separate proceeding this past July that claims made for tips submitted before the ena...
Regulators have recently clarified two important aspects of the prospectus regime that applies across the European Economic Area pursuant to the Prospectus Directive (Directive 2003/71/EC...
The SEC today announced that its staff will host a public roundtable on December 5 to discuss the use of proxy advisory firm services by institutional investors and investment advisers. T...
The PCAOB wants audit committees to take note of a recent audit practice alert that it issued in light of a significant number of audit deficiencies observed in the past three years relat...
In this Report:
In the past month, no rulemaking requirement deadlines passed, six rulemaking requirements were proposed and one rule was finalized to meet a rulemaking requirement.
A...
The SEC director of the Division of Corporation Finance, Keith Higgins, testified before the Senate Banking Committee on Wednesday at a hearing titled “The JOBS Act at a Year and a Half...
“For board members, 2013 was a tale of two proxy seasons,” declares the ISS 2013 Proxy Season Review, taking a page out of the NYC mayoral race playbook.
The report (free registration...
The U.S. banking agencies have issued a proposal to implement the Basel III liquidity coverage ratio (LCR) in the United States. The LCR requires large banking organizations to maintain a...
Exclusive forum provisions in corporate bylaws and certificates of incorporation are back on the agenda for many companies. We reviewed the trend data in a June 2012 briefing and predicte...
Calling him an “economy-class activist,” a Reuters article unveils some of the mystery surrounding retail activist John Chevedden, well known to many as the most prolific sponsor of s...