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On April 8, 2016 the Department of Labor published controversial final rules significantly expanding the definition of a fiduciary with respect retirement plan accounts for the purposes o...
With ongoing pressure on companies that are past the IPO stage to update or modify their corporate governance practices to align with the views of some shareholders and proxy advisory fir...
The prepared statement on the Proxy Advisory Firm Reform Act by the CEO of Glass Lewis, KT Rabin, before the Subcommittee on Capital Markets and Government Sponsored Enterprises, explains...
On May 6, 2016 the Securities and Exchange Commission (“SEC”) joined the Board of Governors of the Federal Reserve System, the Office of the Comptroller of the Currency, the Federal D...
SEC Rules and Regulations
SEC Proposes Higher Net Worth Threshold for Qualified Clients under the Advisers Act
SEC Staff Grants No-Action Relief under Section 206(3) of the Advisers Act ...
On May 23, 2016, the United States Court of Appeals for the Second Circuit reversed a $1.3 billion civil penalty imposed against Countrywide Home Loans, Inc., Bank of America, N.A., and r...
A recent case interprets and demonstrates the importance of the requirements in advance notice bylaws.
The U.S. District Court in the Northern District of Texas granted a preliminary inju...
The Federal Reserve recently issued a proposed rule that would prohibit the U.S. G-SIBs and certain foreign G-SIBs from entering into new swaps, repurchase agreements and other qualified ...
The SEC has extended to July 4, 2016, as the deadline for taking action on NASDAQ’s proposal requiring its listed companies to disclose any third-party compensation payments related to ...
The SEC adopted Business Conduct Rules for security-based swap dealers on April 14, 2016. The Business Conduct Rules address requirements analogous to those covered by the CFTC’s exter...