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On November 4, the SEC proposed amendments to modernize the advertising and cash solicitation rules applicable to investment advisers under the Investment Advisers Act of 1940, which have...
The CFTC’s Division of Swap Dealer and Intermediary Oversight issued an advisory on December 4, 2019 to provide further guidance regarding the preparation and submission of CCO annual r...
In this issue, we discuss IP-related cases before the Supreme Court this term, the European Commission’s annual review of the EU-U.S. Privacy Shield, and the passage of the New York SHI...
FinCEN Director Kenneth A. Blanco recently stressed the value of BSA data, especially in the virtual currency space, and highlighted the continuing “national security gap” in collecti...
Yesterday, the NYSE filed a revised direct listing proposal which follows on the heels of last week’s rejection by the SEC of its prior direct listing rule proposal. The new rule propos...
On November 27, 2019, the United States Department of Commerce issued an advance notice of proposed rulemaking seeking public comment on “regulations that would govern the process and p...
On Friday, December 6, 2019, New York Governor Andrew M. Cuomo signed legislation enacting the Uniform Voidable Transactions Act (“NY UVTA”) and repealing Article 10 (§§ 270-281) of...
To help guide public companies in preparing their annual reports and proxy statements for the 2020 season, we examined the climate change and human capital management disclosures that hav...
Assistant Attorney General Brian Benczkowski, the head of DOJ’s Criminal Division, recently gave a speech in which he clarified that DOJ will not automatically seek to impose agency lia...
The SEC today rejected the proposed NYSE rule change that would have permitted companies to raise capital in a direct listing. The NYSE has confirmed that it plans to revise and resubmit...