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SEC Rules and Regulations
SEC Lifts Moratorium on Approving Actively Managed ETFs That Invest in Derivatives
SEC Extends Temporary Rule 206(3)-3T Regarding Principal Transactions wit...
On January 11, 2013, the SEC approved the NYSE and Nasdaq listing standards, as amended, to implement the SEC’s requirement that national securities exchanges prohibit the listing of an...
This memorandum highlights some considerations for the preparation of 2012 annual reports on Form 20-F. As in previous years, we discuss new disclosure obligations and areas of focus for ...
Rule 10b5-1 plans are back in the news. These plans are widely used by officers and directors of public companies to sell stock according to the parameters of the affirmative defense to i...
The Basel Committee has made significant revisions to the Basel III Liquidity Coverage Ratio (“LCR”). The revised LCR standards allow banks to use a broader range of liquid assets to ...
In the current environment and in the wake of Dodd-Frank mandated rules requiring shareholder advisory votes on executive compensation, shareholder-plaintiffs have more aggressively chall...
The SEC has approved new listing standards governing compensation committees as proposed by NYSE and Nasdaq in accordance with the Dodd-Frank Act. The standards are essentially adopted as...
The Chamber of Commerce has come out swinging in its 30-page comment letter on the SEC rulemaking petition urging public disclosure of corporate political spending, which we previously di...
On January 4, 2013, the Sixth Circuit denied the U.S. government’s petition for en banc review of its September 2012 decision in United States v. Quality Stores that certain severance p...