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The SEC website contains a schedule of Dodd-Frank rulemaking, which has been helpful but at times confusing when the schedule is updated with little notice. Currently, the schedule for t...
On July 26, 2011, the SEC adopted Rule 13h-1 under the Securities Exchange Act of 1934 to require large trader registration and reporting. The rule requires persons who directly or indire...
Since July 21, 2010, when President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”), U.S. regulatory agencies have been engaged in an i...
As a result of the various capital reforms arising out of the recent financial crisis, there has been increasing interest by non-US banks to issue contingent convertible instruments (“C...
As of July 2010, 43% of S&P 500 companies have separate CEO and chairman positions, but only about half of those companies have an independent chair. The debate about the value of having...
To be eligible to file short-form registration statements on Form S-3 or Form F-3, a company must meet (1) registrant requirements (for example, a company must have been a reporting compa...
The DC Circuit’s vacating of the SEC’s proxy access rule has wider applications for the possible challenge of regulations under the Dodd Frank Act on the grounds that they fail to ana...
The D.C. Circuit Court of Appeals today vacated Exchange Act Rule 14a-11, which would have required U.S. public companies to include shareholder nominees for election as directors in thei...
Davis Polk is pleased to present its One-Year Anniversary Dodd-Frank Progress Report, which provides statistical analysis and graphical illustrations of Dodd-Frank rulemaking, study and i...
The SEC recently proposed amendments to Rule 17a-5 under the Securities Exchange Act of 1934 — the broker-dealer financial reporting rule — that would significantly increase the repor...