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Professor Joseph Grundfest of Stanford Law School and SEC Commissioner Daniel Gallagher have co-authored an academic paper with the provocative title “Did Harvard Violate Federal Securi...
On December 16, 2014, the President signed into law an amendment to Section 716 of the Dodd-Frank Act (known as the “Swaps Pushout Rule” or the “Lincoln Amendment”) as part of a $...
SEC Rules and Regulations
SEC Issues Exemptive Relief for Non-Transparent ETMFs
SEC Staff Responds to Questions About Form PF
Industry Update
SEC Chair Discusses Risk Monitoring ...
The NYSE has proposed to amend its listing requirements related to a company filing delinquent reports with the SEC. The proposal expands the NYSE’s existing late filer rule to include ...
Last week, the Financial Industry Regulatory Authority entered into settlement agreements with a number of the major banking firms in response to allegations that their equity research an...
This memorandum highlights some considerations for the preparation of your 2014 annual report on Form 20-F. As in previous years, we discuss both disclosure developments as well as contin...
As requested by the D.C. Circuit Court of Appeals on the conflict minerals case, the SEC has filed a brief addressing the three questions that the Court asked, which we previously discuss...
The Financial Industry Regulatory Authority recently filed with the Securities and Exchange Commission a proposal to consolidate and amend FINRA’s current equity research rules and a se...
On December 10, 2014, the U.S. Court of Appeals for the Second Circuit held that to obtain an insider trading conviction against a tippee, the Government must prove that the tippee knew b...
The UK Government published this week details of a new 25% “diverted profits” tax, which aims to counter cross-border planning techniques adopted by multinational groups. The proposal...