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On April 14, 2010, the Securities and Exchange Commission (the “SEC”) proposed a new rule to establish a large trader reporting system.1 The rule would require large traders of exchan...
In an action that potentially affects the business models of the U.S. options exchanges and major option market participants, the Securities and Exchange Commission (the “SEC”) recent...
While the 2010 proxy season is far from over, one phase is complete for most calendar year companies: the SEC Staff review of no-action letters seeking exclusion of shareholder proposals ...
In This Issue
New Federal Greenhouse Gas Emission Laws Begin to Take Effect January 2011
EPA Seeks Corporate Ownership Information Under Greenhouse Gas Reporting Rule and Expansion of...
Litigation
Supreme Court Ruling in Mutual Fund Excessive Fee Case Generally Endorses Gartenberg Standard
Federal District Court Denies SLUSA Preemption for State Law Claims Involving ...
The number of insured institutions on the FDIC’s “troubled bank” list grew to over 700 at the end of 2009 (nearly three times the number of banks on the list at the end of 2008), re...
In a much anticipated decision, on March 22, 2010, a split panel of the United States Court of Appeals for the Third Circuit affirmed a District Court decision holding that a debtor may b...
Bank Holding Company Amendments (Title VI)
Volcker Rule
All purely technical and uninteresting, except for the following changes (insertions underlined):
Definition of proprietary tr...
On March 18, President Obama signed the Hiring Incentives to Restore Employment Act (the “Act”). The Act includes a version of the “Foreign Account Tax Compliance Act,” a provisio...
The Southern District of New York (“SDNY”) recently agreed to modify the Global Research Equity Settlement (“Global Settlement”) paving the way for chaperoned research analyst and...