SEC Rules and Regulations SEC Grants No-Action Relief to Allow Registered Investment Companies to Maintain Assets with CME to Meet Margin Requirements for Additional Swaps Cleared by C...

The SEC has again decided that it needs more time before it can make a decision on a NYSE rule filing to change the fees paid by companies for proxy distribution, and has delayed its orde...

The National Association of Manufacturers, the U.S. Chamber of Commerce and the Business Roundtable have filed a notice of intent to appeal the recent D.C. District Court ruling that uphe...

Yesterday, the PCAOB proposed for public comment new auditing standards on the auditor’s report filed with the company annual report containing financial statements, generally the Form ...

The move toward stricter regulation of remuneration in the financial services industry in the European Union has resulted in a confusing web of overlapping European Directives and local E...

The Ninth Circuit recently issued an opinion in Dennis v. Hart, in which it held that the district court lacked subject matter jurisdiction over various say-on-pay lawsuits originally fil...

On July 24, 2013, in a controversial ruling in the Sun Capital case, the U.S. Court of Appeals for the First Circuit endorsed the view of the Pension Benefit Guaranty Corporation (PBGC) t...

Yesterday ISS released its policy survey addressing matters that may cause the proxy advisory firm to change how it makes voting recommendations for the upcoming proxy season. The survey ...

SEC Chair White testified yesterday before the Senate Banking Committee in a hearing that C-Span dubbed “Financial Market Collapse Prevention, Part 1.”   Her written testimony lacks t...

On July 27, 2013 , new legislation was promulgated in France aimed at the ring-fencing and regulation of certain banking activities. In particular, the reform: addresses the separation o...