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In an unprecedented and provocative speech, Federal Reserve Governor Daniel K. Tarullo foreshadowed a proposal from the Federal Reserve Board that could fundamentally change the way forei...
Glass Lewis recently released its 2013 Proxy Season Guidelines for the 2013 proxy season, which will go into effect for shareholder meetings taking place after January 1, 2013, an abridge...
The SEC released its 151-page financial report for its fiscal year ended September 2012. The report discusses all of the different areas that the SEC is responsible for, but the governanc...
SEC Rules and Regulations
SEC Proposes Extension of Temporary Rule 206(3)-3T Regarding Principal Transactions with Certain Advisory Clients
Industry Update
SEC Announces Presence...
On November 16, 2012, Institutional Shareholder Services issued its final updates to its proxy voting guidelines for the 2013 proxy season. The key items of change from last year’s guid...
On November 16, 2012, the Secretary of the Treasury issued a much awaited determination that foreign exchange (“FX”) swaps and forwards should not be regulated as swaps under the Comm...
The Department of Justice (DOJ) and Securities and Exchange Commission (SEC) have released new guidance on the criminal and civil enforcement provisions of the Foreign Corrupt Practices A...
Today ISS issued policy updates applicable to the 2013 proxy season, for meetings held on or after February 1, 2012. We’ll be distributing a client memo with details, and we understand ...
3,001 whistleblower tips from all 50 states and 49 countries were provided to the SEC in the 2012 fiscal year, according to its annual report on the whistleblower program. The annual repo...