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The SEC’s new amendment requires that mutual funds and exchange-traded funds highlight certain key information in annual and semi-annual shareholder reports and provide additional fee a...
The SEC’s amendments modernize recordkeeping requirements for broker-dealers, while applying the revised requirements to security-based swap dealers for the first time.
The SEC’s proposed new oversight rule and rule amendments under the Investment Advisers Act of 1940 (Advisers Act) prohibit registered investment advisers from outsourcing certain servi...
In Ultra Petroleum, the Fifth Circuit became the first circuit court to determine that claims for payment of a make-whole premium are disallowed under section 502(b)(2) of the Bankruptcy ...
Part one considered what may constitute workplace sexual harassment, the applicable legal framework, and the consequences faced by corporations and executives. In part two, we share our i...
The FSOC report assesses the financial stability risks of the crypto-asset ecosystem using a framework for vulnerabilities and shocks pioneered by the Federal Reserve, and makes several r...
A federal district court decision involving alleged Regulation FD violations highlighted analysis of key elements governing the regulation relating to whether information is material and ...
We consider the practical takeaways of new SEC Rule 14a-19 and universal proxy card voting in contested director elections. The change to universal proxy cards is a prompt for companies t...
FinCEN’s final rule, which goes into effect January 1, 2024, establishes the requirements for reporting companies to submit their beneficial ownership and company applicant information ...
Under the Biden administration, the U.S. antitrust agencies are taking an aggressive approach to merger enforcement, and have outlined strategies that move away from historical merger rev...