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Director tenure has come under increasing focus, as indicated by CII’s new policies focused on board evaluation of tenure. There is no presumption that any specific term length is probl...
As the second anniversary of FINRA Rule 2111 rule approaches, FINRA has issued Regulatory Notice to Members 13-31 (the “Notice”) summarizing its observations from examinations of firm...
ISS received more than 500 responses on emerging issues that could make up its policy update for the 2014 season, with a total of 128 institutional investors and 350 corporate issuers. Ov...
After facing a books-and-records lawsuit by the state comptroller of New York over its lack of disclosure on political contributions, which we previously discussed here, Qualcomm is now 1...
As companies begin digesting the SEC’s proposed pay ratio rule (which we discuss here) and analyzing its impact, here are answers to some frequently asked questions. Final rules may aff...
On September 18, 2013, the SEC adopted a final rule (the “Final Rule”) establishing a permanent registration scheme to replace the temporary registration scheme for municipal advisors...
As the fiscal year comes to a close—even while the Securities and Exchange Commission, amidst the government shutdown, continues to fund its operations through a carryover balance from ...
On September 30, 2013, the Securities and Exchange Commission issued a staff response to Frequently Asked Questions (“FAQ”) regarding the role and duties of the Chief Compliance Offic...
TheCorporateCounsel.net hosted a Spreecast with Davis Polk’s Joe Hall and re: The Auditors’ Francine McKenna focused on the PCAOB’s new audit report proposal, which we address in th...
On September 18, 2013, the Securities and Exchange Commission adopted its final rule on the permanent registration of municipal advisors. The final rule replaces the current temporary reg...