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At an open meeting yesterday, the Securities and Exchange Commission proposed substantial amendments to the shareholder proposal rules. One proposed change is a stricter, tiered approach ...
On Friday, November 1, 2019, the Supreme Court granted certiorari in Liu v. Securities and Exchange Commission, a case that challenges the SEC’s long-held position that it has authorit...
Rules and Regulations
SEC Adopts Rule to Modernize ETF Regulation
SEC Staff Releases Accounting and Disclosure Information Regarding Performance and Fee Issues
SEC Investment Manage...
Rules and Regulations
SEC Investment Management Division Issues FAQs for Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation
Litigation
SEC Settles wit...
On September 26, 2019, the Securities and Exchange Commission (“SEC”) announced that it had unanimously adopted rule 6c-11 under the Investment Company Act of 1940, as amended and rel...
On October 23, 2019, the Treasury Department’s Office of Foreign Assets Control (“OFAC”) acting at the direction of President Trump and in consultation with the State Department, li...
On October 16, 2019, the SEC Division of Corporation Finance issued Staff Legal Bulletin No. 14K. SLB 14K outlines the analytical framework of the Division regarding Exchange Act Rule 14a...
The FDIC and the Federal Reserve Board have solicited public comment on the use of the Uniform Financial Institutions Rating System, more commonly known as CAMELS ratings. The release as...
President Trump has signed two significant executive orders regarding transparency in federal agency guidance and enforcement. This visual memorandum provides an overview of and key take...
On October 14, 2019, President Trump issued an executive order authorizing sanctions targeting the Turkish government in connection with its military operations in northern Syria. The U.S...