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We are in the busiest annual meeting week of the year, with 350 meetings expected to take place during this week alone, making it the appropriate time to examine how investors view voting...
SEC Rules and Regulations
SEC Staff Grants No-Action Relief to Index-Linked ETF for Exceeding Ownership Percentage Limitations in Insurance Companies or Securities-Related Issuers under ...
On March 29, 2016, the District Court of Massachusetts issued a highly controversial opinion in the Sun Capital case, holding that multiple private equity funds managed by Sun Capital wer...
Last week, the SEC issued a concept release, a forerunner to potential rulemaking, seeking public comment on modernizing the disclosure requirements in Regulation S-K, the central source ...
In our prior posts here and here, we considered certain aspects of the SEC concept release that asks for comments on changes to Regulation S-K disclosure. In this last post, we look at th...
As previously discussed in our prior post, the SEC concept release on Regulation S-K encourages interested parties to comment on all aspects of business and financial rules that govern co...
On April 5, 2016, the U.S. Department of Justice (“DOJ”) launched a new one-year pilot program encouraging voluntary self-disclosure of misconduct related to the Foreign Corrupt Pract...
On April 6, 2016, the U.S. Department of Labor (the “DOL”) issued final regulations expanding the definition of a “fiduciary” with respect to pension and retirement plans, IRAs an...
The SEC concept release on the business and financial disclosure requirements in Regulation S-K is a whopping 341 pages. It would be appropriate to analogize it to the size of a phone bo...
A recent Court of Appeals decision sharply limits the authority of judges to reject Deferred Prosecution Agreements (“DPAs”). On April 5, 2016, the U.S. Court of Appeals for the Distr...