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The Center for Capital Markets Competitiveness, part of the Chamber of Commerce, issued seven recommendations for shareholder proposal reform. On the same day, SEC Chairman Jay Clayton s...
Rules and Regulations
SEC Updates Form ADV Frequently Asked Questions
Interacting with Retirement Investors under the DOL Fiduciary Rule
Industry Update
Acting Director and Acting...
The Antitrust Division of the U.S. Department of Justice has announced Luke M. Froeb as the next Deputy Assistant Attorney General for Economic Analysis in the Antitrust Division – coll...
Industry Update
ILPA Issues Guidance on Use of Subscription Credit Lines
Rules and Regulations
Interacting with Retirement Investors under the DOL Fiduciary Rule
The long conversation about raising the Dodd-Frank $50 billion asset threshold for enhanced prudential standards took a step forward today. Treasury Secretary Mnuchin, responding to a qu...
In a much-anticipated action, on July 25 the SEC issued a Section 21(a) report of its investigation into an offering of digital tokens by “The DAO,” an unincorporated virtual organiza...
After several weeks of negotiations between the House and the Senate, on July 25, the House passed by an overwhelming margin (419-3, with 12 members not voting) the Countering America’s...
The 2017 season that just passed witnessed two kinds of proposals asking companies to amend existing proxy access bylaws. The first type sent to companies earlier in the season sought to ...
Like other federal agencies, the SEC recently released its regulatory agenda. The agenda is published by the Office of Information and Regulatory Affairs at the Office of Management and B...
The CFTC staff has once again extended its no-action relief from the “arrange, negotiate or execute” provisions of CFTC Advisory 13-69, the controversial 2013 advisory that applies tr...