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While the tug-of-war over getting the SEC to adopt future rules requiring companies to disclose political contributions, and dueling legislative initiatives encouraging or prohibiting suc...
On April 22, 2013, the Financial Industry Regulatory Authority (“FINRA”) issued an Interpretive Letter to ALPS Distributors, Inc. setting forth guidance regarding the use of pre-incep...
In the past month, no rulemaking requirements were due and 5 rulemaking requirements were met with finalized rules. No new rules that would meet rulemaking requirements were proposed.
As...
The bill announced by Senators Sherrod Brown (D-Ohio) and David Vitter (R-La.) is the latest volley in the ongoing debate about whether financial reform has gone far enough in ending the ...
A working group of the International Organization of Securities Commissions (IOSCO), the Madrid-based international policy forum for securities regulators from more than 115 jurisdictions...
The Eurozone crisis and ensuing populist resentment over perceived compensation excesses have given rise to a recent wave of compensation measures and restrictions in Europe. As we explai...
SEC Rules and Regulations
CFTC and SEC Adopt Identity Theft Rules
SEC Staff Responds to Inquiries About Filing Requirements for Certain Electronic Communications
The D.C. Circuit has dismissed for lack of jurisdiction the case brought by the American Petroleum Institute and others against the SEC rules requiring certain companies to disclose payme...
With over 50 S&P 500 meetings scheduled for this week, the proxy season begins in earnest. Similar to last year, the Wells Fargo meeting on Tuesday appears to be one of the first targets...
The NYSE has removed its proposed rule filing to the SEC to eliminate its separate voting standard for matters requiring shareholder approval from its website, which we had previously dis...