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Yesterday the Securities and Exchange Commission proposed rules under the JOBS Act that would permit startups and other businesses to raise investment capital through “crowdfunding” ?...
On October 14, 2013, FINRA issued a Report on Conflicts of Interest. The report summarizes FINRA’s observations following an initiative, launched in July 2012, to review conflict manag...
SEC Rules and Regulations
SEC Focused on Violations of Rule 105 of Regulation M
IM Director Discusses Current Priorities Regarding Hedge Fund Managers
SEC Staff Provides Guidance to ...
Unlike prior years, ISS has released only two U.S.-based draft policy changes for comment, due by November 4, 2013. Both clarify existing policies at the margins rather than suggest any s...
Significant amendments to the U.K. Takeover Code (the “Code”) took effect from September 30, 2013. The U.K. Takeover Panel (the “Panel”) has widened the categories of companies t...
On October 15, plaintiffs Boilermakers Local 154 Retirement Fund and Key West Police & Fire Pension Fund filed a notice of voluntary dismissal to drop their appeal to the Delaware Supreme...
It is well known that Chair White and her staff have stressed that their immediate focus is on completing the mandatory rulemaking under the Dodd-Frank and JOBS Acts, but in a sign of pos...
Comment letters continue to flow in, almost overwhelmingly supportive so far, on the SEC proposed rule for pay ratio disclosure. More than 19,000 form letters and over 150 specific letter...
Advocates for the disclosure of corporate political contributions stress the value of transparency when pressing companies to provide information on their political activities. More major...
Nasdaq has filed a petition with the SEC on behalf of itself as a public company as well as its public company clients asking the SEC to take action on proxy advisory firms. The petition ...