IN THIS ISSUE: Introduction Run for the hills…Swiss-style Brexit EMIR and Brexit Despite a weekend of Brexit brainstorming by the Cabinet at the Prime Minister’s country retreat, w...

While several major SEC disclosure requirements remain in the proposal stage and the pay ratio disclosure does not come into play until the proxy statement for 2018 meetings, companies sh...

The SEC recently approved a FINRA proposal to establish a new limited membership category for broker-dealers engaged solely in certain corporate financing advisory and capital raising act...

73% of the shareholders at large-cap companies and 77% of those at mid-cap companies are institutional investors, according to the latest edition of ProxyPulse, a joint publication by Bro...

Yesterday, the Federal Reserve, OCC and FDIC issued the long-expected report to Congress and the FSOC, as required under section 620 of the Dodd-Frank Act, regarding activities and invest...

Most companies filing reports on their use of conflict minerals remain unable to confirm their origin or whether those minerals financed or benefited armed groups, concluded a GAO report ...

IN THIS ISSUE: Introduction Brexit and anti-trust Prospects for the Prospectus Directive As we go to press, the UK cabinet is finally beginning the serious business of drawing up its ?...

Yesterday, the SEC proposed rules that would require companies to include a hyperlink to each exhibit listed in registration statements and periodic and current reports, including among o...

Today, the Ninth Circuit issued an opinion in SEC v. Jensen.  The court held that Rule 13a-14 of the Securities Exchange Act confirms that the SEC has a cause of action against CEOs and C...

The SEC released an 8-page request for comments to ask for input on Subpart 400 of Regulation S-K, including Item 401 (director and officer information), Item 402 (executive compensation)...