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SEC Rules and Regulations
SEC Issues Guidance on New Iran Disclosure Requirements
SEC Extends No-Action Relief to Broker-Dealers Who Rely on Registered Investment Advisers to Perform...
With annual meeting season looming, SEC Commissioner Luis Aguilar recently advocated for improved proxy disclosure, noting that many companies “continue to fall short of providing the r...
In our recent client alert, “Recent Developments in Executive Compensation,” an open question was the fate of Gordon v. Symantec Corp. (and similar cases) after the court denied a pre...
The Basel Committee on Banking Supervision (“BCBS”) and the International Organization of Securities Commissions (“IOSCO”) on February 15 released a second consultative paper on m...
New York State Comptroller Thomas P. DiNapoli on Friday issued a press release announcing that the New York State Common Retirement Fund has withdrawn the lawsuit it filed in early Januar...
In a bench ruling issued on February 6 in In re Puda Coal, Inc. Stockholders Litig., the Delaware Court of Chancery declined to dismiss breach of loyalty claims against the U.S. independe...
The FDIC has proposed a new regulation that would construe the statutory term “insured deposit” to exclude all deposits maintained by a foreign branch of a U.S. bank, even if they are...
On January 31, 2013, the Financial Industry Regulatory Authority (“FINRA”) issued a Regulatory Notice requesting comment on new proposed FINRA rules governing markups, markdowns, comm...
The NYSE sent a reminder to its U.S.-listed companies earlier this week, covering a range of regulatory requirements. The key points focused on the annual meeting and proxy statement incl...
On December 31, 2012, Strategic Growth Bancorp Inc. (“Strategic Growth”), an El Paso, Texas-based bank holding company, acquired Mile High Banks (the “Bank”), a Colorado community...