There is no shortage of ideas from the financial sector on how to rebalance financial sector regulation judging by the many reports, white papers and letters that have been sent to Treasu...

A recent Bloomberg report found that 226 no-action letters requesting to exclude shareholder proposals were submitted to the SEC in the first quarter of 2017, a 10% increase over the prio...

A revised version of the Financial CHOICE Act (commonly referred to as CHOICE Act 2.0) was passed by the House Financial Services Committee last week on a strictly partisan vote and will ...

The congressional spending proposal that has dominated the news maintains the SEC budget for fiscal 2017, allowing the SEC to operate with the same funding since the last fiscal year ende...

In mid-April, the NYSE made a rule filing with the SEC to require listed companies to give notice to the Exchange at least 10 minutes before any public announcement about dividends or sto...

FINRA has published a regulatory notice requesting comment on a long-awaited proposal to create a safe harbor that will exempt qualifying desk commentary from most of its equity and debt ...

Industry Update IM Information Update Provides Guidance to Advisers Using a Participating Affiliate Structure IM Information Update Sets Out Framework for Requesting Tax Claims Letters D...

Industry Upate Financial CHOICE ACT Proposes to Exempt Private Equity Fund Advisers from Registration and Reporting Requirements of Advisers Act SEC Subpoena Serves as a Reminder to Full...

On April 18, 2017, the Supreme Court heard oral argument in Kokesh v. SEC to resolve a circuit split on the issue of whether the five-year statute of limitations in 28 U.S.C. § 2462—wh...

The modified version of the legislation, CHOICE Act 2.0, released by House Financial Services Committee Chairman Jeb Hensarling (R-TX), is mostly known for proposing major financial regul...