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In the past month, no rulemaking requirement deadlines passed, one rulemaking requirement was finalized, and one rule was proposed that would meet twelve rulemaking requirements.
As of A...
While only 142 Russell 3000 companies have failed say-on-pay in the last three years from over 7,000 companies with those votes, 893 companies had to counter negative recommendations from...
The need for disclosure about cybersecurity breaches must be balanced against other factors, urged some of the panelists at the SEC’s roundtable on cybersecurity when the discussion foc...
On March 6, the United States District Court for the District of Columbia granted a motion to compel the production of documents arising from defendants’ internal compliance investigati...
Sean McKessy, the Chief of the SEC’s whistleblower office, recently warned companies not to be “creative” in trying “get people out of our programs.” He was referring to concern...
The SEC staff’s Rule 14a-8 process is being supported by perhaps an unlikely group. Twenty socially responsible investors, led by NorthStar Asset Management, Inc., have begun a campaign...
The Federal Reserve’s Dodd-Frank enhanced prudential standards (EPS) final rule adopts a tiered approach for applying EPS to foreign banks. Under the tiered approach, the most burdensom...
SEC Rules and Regulations
SEC Staff Responds to Questions About Form PF
IM Guidance Update Clarifies Advisory Fee Rate Requirement for Multi-Manager Funds
IM Guidance Update A...
On March 19, 2014, the U.S. Department of Justice announced that Tokyo-based trading company Marubeni Corporation had entered a guilty plea and will pay a criminal fine of $88 million in ...
The SEC has announced its agenda and panelists for the roundtable on cybersecurity to be held on Wednesday, March 26 at 9:30 a.m. EST. The event will be webcast live as well as archived. ...