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SEC Rules and Regulations
SEC Amends Net Worth Standard for Individual Accredited Investors
SEC Schapiro Seeks Authority to Impose Larger Penalties for Securities Law Violations
In...
Section 871(m) of the Internal Revenue Code, enacted in 2010, imposes withholding tax on, among other things, “dividend equivalents” paid to foreign counterparties pursuant to “spec...
The CFTC issued a final rule on January 11, 2012 that specifies the registration process for swap dealers and major swap participants. On the same day, the CFTC also issued an order deleg...
The Shareholder Communications Coalition, a group that includes the Business Roundtable, the National Investors Relations Institute and the Society of Corporate Secretaries and Governance...
In its ongoing effort to revise and consolidate rules governing members’ communications with retail and institutional investors, the Financial Industry Regulatory Authority, Inc. recent...
This memorandum highlights some considerations for the preparation of 2011 annual reports on Form 20-F and certain other U.S.-related regulatory actions and developments of interest to fo...
The CFTC has adopted two final rules - a Swap Data Reporting Rule and a Real-Time Reporting Rule - that, in less than a fully coordinated manner, establish the new Dodd-Frank Act reportin...
As 2011 neared a close, ISS announced that it will update its Governance Risk Indicators (called GRId 2.0) on February 24, 2012 to score all Russell 3000 companies. For the first time, a...
In December, ISS issued a whitepaper providing further guidance on its new pay-for-performance review framework first introduced in its 2012 proxy voting guidelines update (effective for ...
The SEC will no longer permit defendants who admit relevant conduct in parallel criminal proceedings to “neither admit nor deny” that conduct in settlement orders.
The SEC has had a ...