Mondaq USA: Corporate/Commercial Law > Securities
Torys LLP
The work of proxy advisory firms has been on the SEC's radar for several years. Extensive consultations with market participants and research into the role of proxy advisory firms
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
On September 6, 2019, the Division of Corporation Finance (Staff) of the Securities and Exchange Commission (SEC)
Mayer Brown
In this article published in The Review of Securities & Commodities Regulation, we discuss the implications of the SEC's recent actions to modernize and simplify disclosure requirements
Ropes & Gray LLP
In a decision ratifying the mutual fund industry's long-standing treatment of portfolio concentration, the U.S. Court of Appeals for the Second Circuit
Jones Day
Whether on their own initiative or in response to pressure from regulators, consumers, or activist shareholders, many issuers are disclosing more and more about their environmental, social
Jones Day
Debt capital markets players are entering into the Prospectus 3 era, with three major changes impacting debt prospectuses.
Proskauer Rose LLP
On August 21, 2019, the Securities and Exchange Commission issued two interpretive releases involving proxy voting and proxy voting advice.
Cleary Gottlieb Steen & Hamilton LLP
Global Crisis Management Series: This post is part 10 in a series concerning topics further elaborated on in Cleary Gottlieb's Global Crisis Management Handbook
Jones Day
The Situation: In an effort to update the rules to improve disclosures for investors and to simplify compliance efforts for registrants, the U.S. Securities and Exchange Commission ("SEC")
Kramer Levin Naftalis & Frankel LLP
La loi n° 2018-727 du 10 juillet 2018 a prévu des ordonnances pour réformer le régime du taux effectif global, dont l'une pour les sanctions civiles.
Mayer Brown
At the Economic Club of New York, in keynote remarks, Chair Clayton reviewed the Securities and Exchange Commission's recent initiatives.
Cadwalader, Wickersham & Taft LLP
The SEC proposed various measures to "facilitate additional progress" in the implementation of the Consolidated Audit Trail ("CAT").
Cadwalader, Wickersham & Taft LLP
The recently approved SEC Proxy-Advisor Guidance and Interpretation and Guidance on Proxy Voting Advice were published in the Federal Register.
Cadwalader, Wickersham & Taft LLP
A former Chief Compliance Officer/General Securities Principal ("CCO/GSP") settled FINRA charges for failing to (i) update employee forms concerning reportable events within 30 days of discovery
Cadwalader, Wickersham & Taft LLP
The North American Securities Administrators Association ("NASAA") identified recent enforcement trends in an annual summary of state enforcement actions.
DLA Piper
The SEC recently proposed amendments to Regulation S-K related to a registrant's required disclosures concerning the description of its business
Gibson, Dunn & Crutcher
On September 6, 2019, the Division of Corporation Finance (the "Staff") of the Securities and Exchange Commission ("SEC") announced
Mayer Brown
On September 6, 2019, the Division of Corporation Finance of the US Securities and Exchange Commission announced a significant change to its process with respect
Bennett Jones LLP
The United States Securities and Exchange Commission (SEC) recently issued guidance on the applicability of certain U.S. proxy rules to voting advice given by proxy advisory firms
Cadwalader, Wickersham & Taft LLP
The North American Securities Administrators Association ("NASAA") reported examination findings at state-registered investment advisers, highlighting the rising rate of cybersecurity deficiencies.
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Cooley LLP
According to this recent study from consulting firm McKinsey, investors want to see a different kind of sustainability reporting.
Debevoise & Plimpton
The first half of 2019 has seen increased clarity on a number of substantial issues that have affected both general and limited private equity partners.
BakerHostetler
Earlier this week, cease and desist orders were issued against two online investment entities, Zoptax LLC and Unocall, as part of an ongoing effort coordinated by the North American
BakerHostetler
This week the U.S. Securities and Exchange Commission (SEC) announced that it has settled charges against SimplyVital Health Inc
Kramer Levin Naftalis & Frankel LLP
In March 2019, final rules amending Regulation S-K and related rules and forms were adopted. Included in these rules were requirements that registrants use Inline XBRL
Mayer Brown
The Annual Review of Federal Securities Regulation, prepared by the Subcommittee on Annual Review of the Committee on Federal Regulation of Securities of the ABA Business Law Section
Cooley LLP
At an open meeting yesterday, the SEC voted (three to two) to publish guidance aimed at addressing some of the long-simmering controversy surrounding the reliance by investment advisers on proxy advisory firms.
BakerHostetler
This week, the U.S. Securities and Exchange Commission (SEC) issued to Pocket Full of Quarters Inc. (PoQ) a no-action letter related to PoQ's distribution of its Quarters product, an ERC20 token.
DLA Piper
One of the big corporate governance related stories last month was the settlement agreement between the Securities and Exchange Commission (SEC) and Facebook Inc. arising from the misuse of Facebook user data and disclosures...
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