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In this Report:
As of September 4, 2012, a total of 237 Dodd-Frank rulemaking requirement deadlines have passed. Of these 237 passed deadlines, 145 (61.2%) have been missed and 92 (38...
On August 29, 2012, the Securities and Exchange Commission (“SEC”) issued a proposal to permit widespread advertising and other forms of “general solicitation” in private offering...
A recent press release from the Shareholder Rights Project (SRP), issued jointly with the Massachusetts Pension Reserves Investment Management Board, indicates that they have been working...
On August 22, 2012, the National Futures Association (“NFA”) filed proposed rule changes with the Commodity Futures Trading Commission (“CFTC”) that will require futures commissio...
On August 22, 2012, the SEC staff released Frequently Asked Questions (“FAQs”) about certain JOBS Act provisions that address the conduct of research analysts and the publication of r...
On August 21, 2012, the Securities and Exchange Commission (“SEC”) announced its first “whistleblower” award under the Dodd-Frank Act. While the facts relating to the whistleblowe...
On July 19, 2012, the Division of Investment Management of the Securities and Exchange Commission (the “SEC”) issued additional responses (the “Responses”) to frequently asked que...
The SEC voted today to implement the Dodd-Frank Act’s reporting requirements relating to “conflict minerals” – cassiterite, columbite-tantalite, gold, wolframite and other mineral...
The SEC voted today to adopt final rules to implement Section 1504 of the Dodd-Frank Act relating to resource extraction issuers. The rules provide that a U.S. or foreign company that (1)...
Recently, the Department of Justice reaffirmed its guidance as to what it views as the proper Foreign Corrupt Practices Act (“FCPA”) compliance procedures in the context of mergers an...