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SEC Rules and Regulations
SEC Staff Responds to Form ADV Questions Regarding Exempt Adviser Reporting and Financial Industry Affiliations
SEC Staff Issues Guidance on Issues of Intere...
On April 19, 2012, Davis Polk, in conjunction with Cleary Gottlieb and Sullivan & Cromwell authored a white paper on the separate entity doctrine as applied to the U.S. branches of foreig...
The Securities and Exchange Commission has approved a significant overhaul of FINRA’s rules governing members’ communications with customers and the public. The revised communication ...
Glass Lewis released a brief overview that it calls a “Primer for Issuers.” Glass Lewis reiterates that it does not engage in discussions with companies during the proxy solicitation ...
On April 5, 2012, the President signed into law the Jumpstart Our Business Startups Act (the “JOBS Act”), the most significant Congressional relaxation in memory of restrictions surro...
On April 2, 2012, the Board of Governors of the Federal Reserve System (the “Federal Reserve”) issued a Supplemental Notice of Proposed Rulemaking (the “Supplemental NPR”) and req...
On April 5, President Obama signed into law the Jumpstart Our Business Startups Act (the “JOBS Act”), which as we’ve previously noted represents a very significant loosening of rest...
On March 20, 2012, the CFTC finalized a package of rules related to swap clearing. The rules set standards for:
the arrangements that swap dealers (“SDs”), major swap participants (...
Today President Obama signed into law the Jumpstart Our Business Startups Act (the “JOBS Act”). The JOBS Act includes provisions that ease the IPO process and subsequent public report...
Today President Obama signed the Jumpstart Our Business Startups Act (the “JOBS Act”), which was passed by the House of Representatives on March 27, 2012 in the same form passed by th...