Mondaq USA: Corporate/Commercial Law
Cadwalader, Wickersham & Taft LLP
The staff of the SEC Division of Corporation Finance (the "Division") will not recommend enforcement action against a U.S. company for excluding a shareholder proposal from its proxy materials.
Cooley LLP
In the first 30-day window after the date of the restated financials, the authors found no statistically significant abnormal returns.
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
On February 6, 2019, the Division of Corporation Finance (Staff) of the Securities and Exchange Commission published new interpretive guidance regarding board diversity disclosures
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to settle NASDAQ Stock Market LLC ("Nasdaq") charges of failing to "maintain a continuous two-sided trading interest . . .
Cadwalader, Wickersham & Taft LLP
In remarks at the University of Missouri School of Law, SEC Commissioner Hester Peirce described the difficulty in applying securities laws in general ...
Akin Gump Strauss Hauer & Feld LLP
Last week, the Staff of the DCF of the SEC released new compliance and disclosure interpretations, which clarify disclosure requirements relating to diversity under Item 401(e) and Item 407(c)(2)(vi) of Regulation S-K.
Sheppard Mullin Richter & Hampton
On February 6, 2019, the Securities and Exchange Commission released two Compliance and Disclosure Interpretations (CDIs) discussing disclosure requirements in instances where a director or board nominee...
Jones Day
Disclosure alone is not sufficient; material weaknesses need to be actively remediated.
Foley Hoag LLP
A single annual plan is stronger than four quarterly plans.
Hunton Andrews Kurth LLP
Activist investors continue to make liberal use of the SEC's Rule 14a-8 to submit proposals for inclusion in company proxy statements.
Shearman & Sterling LLP
On January 31, 2019, Judge Madeline Cox Arleo of the United States District Court for the District of New Jersey granted with leave to amend defendants' motion to dismiss a putative securities fraud
Cadwalader, Wickersham & Taft LLP
The FIF believes that the SEC should consider revising Rule 605 to better reflect the best practices created by industry participants since the rule's adoption.
Mayer Brown
On February 6, 2019, the staff of the US Securities and Exchange Commission (SEC) issued two identical Regulation S-K compliance and disclosure interpretations (C&DIs),
Mayer Brown
In a recently published white paper Andrew Kroculick and Julia Brezing of Nasdaq Private Market provide an overview of the auction processes supported by the Nasdaq Private Market.
Cadwalader, Wickersham & Taft LLP
The MSRB adopted clarifying amendments to the Implementation Guidance on MSRB Rule G-18 ("Best Execution").
Cadwalader, Wickersham & Taft LLP
In a call with the SEC Investor Advisory Committee, SEC Chair Jay Clayton and SEC Commissioner Elad L. Roisman contended that the current proxy voting system needs fixing.
Shearman & Sterling LLP
The Securities and Exchange Commission (the SEC) has proposed rules that would modernize the "fund of funds" rules. The rules would replace a patchwork of exemptive rules and orders,
Stites & Harbison PLLC
This article highlights common, but often overlooked, terms routinely found in construction contracts.
Mintz
Real Leaders began circulating its magazine in 2010, focusing on sustainable business and leadership.
Shearman & Sterling LLP
In this newsletter, we provide a snapshot of the principal Asian, U.S., European and selected international governance and securities law developments of interest to Asian corporates and financial institutions.
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Lewis Brisbois Bisgaard & Smith LLP
The 2018 California legislative session was another busy year with numerous employment-related bill signed into law.
Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Jeffer Mangels Butler & Mitchell LLP
The SEC warns public companies that lax cybersecurity practices could violate rules governing internal accounting controls, and offer nine scams as cautionary tales.
Ruchelman PLLC
On August 8, 2018, the I.R.S. issued much-awaited proposed regulations under new Code §199A, which was added by the 2017 Tax Cuts and Jobs Act. The provision was initially discussed in detail in our February 2018 edition.
Mayer Brown
RegTech may be particularly helpful as FINRA members begin to engage in electronic structured products trading platforms.
Frankfurt Kurnit Klein & Selz
Vermont's new Data Broker Regulation ("Regulation") takes effect on January 1, 2019.
Cooley LLP
As 2019 kicks off, the Cooley antitrust group highlights 10 recent developments and trends corporate counsel should be aware of – from the US Supreme Court and lower courts, the DoJ and FTC ...
Jones Day
The Situation: In what may indicate a sea change in terms of who the Department of Justice ("DOJ") is willing to pursue in False Claims Act cases, a private equity firm has been named as a co-defendant in a False Claims Act complaint, along with one of its portfolio companies.
Proskauer Rose LLP
California overhauled its Rules of Professional Conduct effective November 1, 2018.
Shearman & Sterling LLP
It is now time for foreign private issuers to prepare their annual reports on Form 20-F. For companies with a calendar year-end, the Form 20-F must be filed with the U.S. Securities
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