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On November 19, 2010, the SEC issued a release (the “Implementing Release”) in which it proposed rules and rule amendments, including various amendments to Form ADV, to implement cert...
On November 19, 2010, the SEC issued a release (the “Exemptions Release”) proposing rules to implement certain provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer...
In a practical ruling that explicitly acknowledges the relevance of “[p]ractice and understanding in the real world,” the Delaware Supreme Court today invalidated a bylaw amendment ad...
At open meetings on November 19, the CFTC and SEC each proposed rules under the Dodd-Frank Act regarding reporting of swap and security-based swap* data to regulated swap data repositorie...
At an open meeting on November 19, the CFTC proposed a rule regarding protection of collateral of counterparties to uncleared swaps and issued an advance notice of proposed rulemaking on ...
On Friday, November 19, ISS Corporate Governance Services released its U.S. Corporate Governance Policy Updates on voting recommendations for meetings occurring on or after February 1, 20...
Yesterday we submitted two comment letters to the SEC on key executive compensation and corporate governance rulemaking that will have a significant impact on US public companies.
At an open meeting on November 10, the CFTC proposed four rules regarding regulation of, and registration requirements for, swap dealers and major swap participants (“MSPs”) under the...
SEC Rules and Regulations
SEC Proposes Rule Defining “Family Offices” under the Dodd-Frank Act
SEC Requests Comment on President’s Working Group Study of Money Market Fund Refo...
On November 4, 2010, the Securities and Exchange Commission (“SEC”) and U.S. Department of Justice (“DOJ”) announced much-anticipated resolutions of Foreign Corrupt Practices Act ...