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In the first decision of the cases challenging John Chevedden’s shareholder proposals for this season, the first outside of a Texas court and reviewing a new issue, the District Court i...
This visual summary provides an overview of key aspects of the Dodd-Frank enhanced prudential standards (EPS) final rule that applies to foreign banking organizations with ≥ $50 billion...
SEC Rules and Regulations
SEC Issues Guidance on Rule 506(c) Exemption
SEC Issues No-Action Guidance Regarding Definition of “Knowledgeable Employee” Under the Investment Company ...
This visual summary provides an overview of key aspects of the Federal Reserve’s Dodd-Frank enhanced prudential standards (EPS) final rule applicable to:
U.S. bank holding companies wi...
The Fifth Circuit has upheld a Texas federal district court decision from last May granting summary judgment to Waste Connections allowing the company to exclude a shareholder proposal su...
Understanding the views of major shareholders becomes critical as companies head into the proxy season. We are fortunate to get insights from Glenn Booraem, Principal & Fund Controller a...
The SEC’s Division of Trading and Markets recently issued an important No-Action Letter that effectively permits “M&A Brokers” to advise on and arrange certain securities transactio...
Glass Lewis recently announced a policy of voting against members of the corporate governance committee at companies that adopt bylaws disqualifying director nominees who receive third-pa...
Last Thursday, Broadridge announced that it will change its procedures for reporting of interim voting results for proxy contests, so that each soliciting party will only receive the resu...
Broadridge has announced a new policy that during proxy contests, each party will only receive the interim results of votes cast for its own proxy card, reports the WSJ. Companies and dis...