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SEC Rules and Regulations
* SEC Proposes Rule on Disqualification of “Bad Actors” from Rule 506 Offerings
Industry Update
* FINRA Delays Implementation of Rule 5131(b) Prohibition...
The Delaware Chancery Court recently rejected a challenge to an advance notice requirement for shareholder proposals that appeared in the Company’s proxy statement, not in its bylaws, a...
The SEC has readopted portions of Rules 13d-3 and 16a-1 to ensure that its current beneficial ownership definition, which applies for purposes of disclosure and short-swing profit rules, ...
The SEC has now issued rules implementing the Dodd-Frank whistleblower bounty provisions, ushering in a radically new compensation scheme that will affect compliance programs and investig...
Commenters to the SEC’s proposed rules on listing standards for compensation committees, including issuers, law firms, consultants and organizations like the Society of Corporate Secret...
On June 6, 2011, the Supreme Court issued a unanimous decision in Erica P. John Fund, Inc. v. Halliburton Co. (No. 09-1403), holding that it is not necessary for plaintiffs in federal sec...
The deadline for comments about the SEC proposed rules regarding compensation committees has passed, with 54 submissions sent. While many commenters support the approach of directing the...
Davis Polk is pleased to announce the third installment of the Davis Polk Dodd-Frank Rulemaking Progress Report. This month, rules meeting three Dodd-Frank requirements were finalized and...
The extensive commentary provided to date on the proposed credit risk retention rules (the “Proposed Rules”) under the Dodd-Frank Act raises significant concerns that are critically i...
In an important development defining when Revlon duties apply to a mixed cash and stock deal, the Court of Chancery last week applied Revlon to a deal where target shareholders would rece...