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The Leveraged Lending Guidelines are in an uncomfortable state of limbo. After the GAO ruling that the Guidelines are a “rule” under the Congressional Review Act, they are no longer ...
On October 26, 2017, the Division of Investment Management and the Division of Trading and Markets of the SEC issued three related no-action letters to address certain issues raised by cr...
Background
On November 5, 2017 the International Consortium of Investigative Journalists (“ICIJ”) released the “Paradise Papers,” a collection of 13.4 million files that appear to...
Bills Would Expand Testing the Waters, Codify Confidential Submission of Draft Registration Statements and Modify Accredited Investor Definition
On November 1, the House passed two bills...
FINRA announced that new rules governing the registration and qualification of member firms’ associated persons will become effective on October 1, 2018. The new rules will require subs...
Yesterday, the SEC Staff issued a new Staff Legal Bulletin (SLB) on shareholder proposals. The most striking impact it will likely have initially is on the ordinary business exclusion, R...
The New York City Commission on Human Rights (CCHR) enacted Local Law 67 in May 2017, which prohibits employers from inquiring into the salary history of job applicants when interviewing ...
Industry Update
SEC Announces Cybersecurity Enforcement Initiatives
SEC Chairman Issues Statement on Cybersecurity
ESG in Private Equity: What Every GP Needs to Know About Public Pension...
Industry Update
SEC Announces Cybersecurity Enforcement Initiatives
SEC Chairman Issues Statement on Cybersecurity
ESG in Private Equity: What Every GP Needs to Know About Public Pension...
On October 26, 2017, Stephanie Avakian and Steven Peikin, Co-Directors of the U.S. Securities and Exchange Commission’s Division of Enforcement, provided remarks at the 2017 Securities ...