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FINRA’s new rules governing members’ communications with customers and the public will become effective on February 4, 2013.1 The revised communication rules represent a significant o...
The Second Circuit recently issued a decision that relates to whether a sale of one class of equity security and a purchase of a different class of equity security issued by the same comp...
According to a post on the Harvard Law School Forum on Corporate Governance and Financial Regulation, the SEC has updated its entry in the Office of Management and Budgets Unified Agend...
The OCC has published long-awaited guidance notifying federally-chartered insured depository institutions (“IDIs”) that it is prepared to grant applications to delay compliance with t...
In the midst of shareholder proposals season as submission deadlines have largely passed and companies are analyzing the proposals received, Georgeson’s 2012 Annual Corporate Governance...
As media outlets are reporting, New York State Comptroller Thomas DiNapoli announced that the NY State Common Retirement Fund has filed suit in Delaware court against Qualcomm for the rig...
On December 21, 2012, the SEC unanimously adopted rules required by the Dodd-Frank Act that require broker-dealers and certain other market participants to search for holders of securitie...
In this Report:
As of January 2, 2013, a total of 237 Dodd-Frank rulemaking requirement deadlines have passed. Of these 237 passed deadlines, 142 (59.9%) have been missed and 95 (40.1%...
On December 20th, ISS issued two extensive FAQs on their voting policies. A separate blog will cover the compensation items.
The non-compensation FAQs cover old ground in many respects, i...
On December 21, 2012, the CFTC issued a final exemptive order relating to the application of certain swap-related provisions of the U.S. Commodity Exchange Act to swap activities outside ...