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There has been a slow start to financial regulatory reform under the Trump Administration, but the conversation is now changing in ways that are serious and thoughtful. This note highligh...
Decision Yesterday and Two Denials of Certiorari Today Decline to Apply American Pipe Tolling to Statutes of Repose Under Both the ’33 Act and ’34 Act
On June 26, 2017, the United St...
Rules and Regulations
SEC Adopts Technical Amendments to Form ADV and Form ADV-W to Reflect Enactment of a Wyoming State Law Regulating Investment Advisers
House Approves Revised Financi...
IN THIS ISSUE:
Introduction
Supervisory Convergence in Financial Services
Proposals to amend the EMIR Supervisory Regime
On June 23, 2017, we passed the one year mark since the refer...
Rules and Regulations
House Approves Revised Financial CHOICE Act
Litigation
Supreme Court Rules that Five-Year Statute of Limitations Applies to SEC Disgorgement Actions
For most securities transactions, on September 5, 2017 the settlement cycle will shorten from three business days to two business days after the trade date, or T+2, as we discussed in a p...
A lively debate is erupting over a provision in the House-approved Financial CHOICE Act that would increase the stock ownership threshold for submitting shareholder proposals in the compa...
Mylan recently publicly protested what may be a little known ISS policy that impacts the provision of draft reports to S&P 500 companies.
CalSTRS, the New York City Comptroller’s office...
A recent speech by the SEC Chief Accountant provided guidance for audit committees on several key areas of responsibilities in new developments, and on perennial issues of auditor evaluat...
Two letters from members of the House of Representatives directed Chairman Clayton to continue his predecessor’s efforts toward requiring companies to provide more information on the di...