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On June 16, 2011, the SEC approved new FINRA Rule 1230(b)(6), that will require, for the first time, that persons with supervisory, management or decision-making authority over specified ...
The Dodd-Frank frequency vote is of course “nonbinding”, but companies that have “lost” the vote for triennial frequency have almost without exception decided that the better part...
The CFTC and SEC took actions this week that are expected to defer most Dodd-Frank requirements regulating swaps and security-based swaps (“SBS”) that would otherwise have gone into e...
On June 13, 2011, the U.S. Supreme Court issued an important decision clarifying the scope of liability for “making” false statements under Section 10(b) of the Securities Exchange Ac...
SEC Rules and Regulations
* SEC Proposes Rule on Disqualification of “Bad Actors” from Rule 506 Offerings
Industry Update
* FINRA Delays Implementation of Rule 5131(b) Prohibition...
The Delaware Chancery Court recently rejected a challenge to an advance notice requirement for shareholder proposals that appeared in the Company’s proxy statement, not in its bylaws, a...
The SEC has readopted portions of Rules 13d-3 and 16a-1 to ensure that its current beneficial ownership definition, which applies for purposes of disclosure and short-swing profit rules, ...
The SEC has now issued rules implementing the Dodd-Frank whistleblower bounty provisions, ushering in a radically new compensation scheme that will affect compliance programs and investig...
Commenters to the SEC’s proposed rules on listing standards for compensation committees, including issuers, law firms, consultants and organizations like the Society of Corporate Secret...
On June 6, 2011, the Supreme Court issued a unanimous decision in Erica P. John Fund, Inc. v. Halliburton Co. (No. 09-1403), holding that it is not necessary for plaintiffs in federal sec...