Amidst concerns that the SEC whistleblower rules will encourage employees to bypass internal protocols and take allegations of misconduct directly to the Commission, a survey by the nonpr...

Broadridge recently presented statistics from the 2012 proxy season, covering meetings from March 1st to June 1st. In this period of only 93 days, a staggering volume of shares, nearly 34...

In response to concerns that audit firms were either declining to provide important information or downplaying the results of PCAOB inspections, the PCAOB recently issued a report about h...

On July 24, 2012, the CFTC finalized a rule establishing a schedule for compliance with the mandatory clearing requirements for swaps under Title VII of the Dodd-Frank Act. On the same da...

Last week, the English High Court ruled that an “exit consent” used by Anglo Irish Bank to impose losses on subordinated bondholders was invalid under English law and violated the ter...

ISS has issued its policy survey for 2013.  The survey seeks input from institutional investors, issuers and other corporate governance participants, with 31 questions of relevance to the...

The quieter summer months muted what may turn out to be an important turning point in the proxy access landscape: the SEC staff denial of no-action requests for proxy access proposals sub...

On July 10, 2012, the U.S. Commodity Futures Trading Commission (the “CFTC”) issued a no-action letter that will extend until December 31, 2012 relief from registration as a commodity...

The U.S. Court of Appeals for the Seventh Circuit (the “Court”) recently potentially expanded the extraterritorial reach of the U.S. antitrust laws. Its unanimous en banc decision in ...

On July 11, 2012, the SEC adopted a rule requiring the national securities exchanges and FINRA to jointly propose and implement a plan that would require these organizations and their mem...