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SEC Rules and Regulations
SEC Staff Responds to Questions About Form PF
SEC Releases Guidance on Advisers Act Exemption for CFTC-Registered Investment Advisers that Advise Private Fun...
Nasdaq has filed an amendment to its proposed listing standards with respect to compensation committees, as referred to in our recent post. The key provisions include:
Effective Dates. ...
The Federal Reserve has proposed a tiered approach for applying U.S. capital, liquidity and other Dodd-Frank enhanced prudential standards to the U.S. operations of foreign banking organi...
Most of the 15 comment letters on the proposed listing standards for compensation committees by the NYSE and Nasdaq focused on committee member independence. Some commentators, including ...
The Federal Reserve has proposed a tiered approach for applying U.S. capital, liquidity and other Dodd-Frank enhanced prudential standards to the U.S. operations of foreign banking organi...
On December 10, 2012, the Securities and Exchange Commission (the “SEC”) charged eight former directors (the “Directors”) of five Morgan Asset Management (“MAM”) registered in...
The United Brotherhood of Carpenters has sent a number of companies shareholder proposals seeking (a) triennial say-on-pay votes and (b) a vote not only on the overall executive compensat...
On December 12, 2012, the Commission announced an action plan seeking to modernize company law and corporate governance1 (the “Action Plan”), organized around the following three them...
Political contributions shareholder proposals continue to be a perennial favorite among activists even post-election, as we are seeing a proliferation of those proposals already. There ap...
La Commission a annoncé hier un plan d’action visant à moderniser le droit des sociétés et la gouvernance des entreprises1 (le « Plan d’Action ») qui s’articule autour des tro...