Mondaq USA: Corporate/Commercial Law
Cleary Gottlieb Steen & Hamilton LLP
It also stressed a goal of maintain investors' ability to choose between the two.
Ropes & Gray LLP
On June 5, 2019, the SEC adopted two rules and published two interpretations "designed to enhance the quality and transparency of retail investors' relationships with investment advisers and broker-dealers."
Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for alleged deficiencies in its anti-money laundering ("AML") compliance program in connection with penny stock transactions.
Holland & Knight
The U.S. Department of the Treasury is currently collecting data from all U.S. persons1 for its five-year mandatory benchmark survey of foreign ownership of U.S. securities as of June 30, 2019.
Cooley LLP
In May 2019, comp consultant Mercer conducted a spot survey of 135 companies, looking at the prevalence and types of ESG (environmental, social and governance) metrics used in incentive compensation plans, ...
Cooley LLP
Allison Lee has finally been confirmed by the Senate as an SEC Commissioner.
Butler Snow LLP
Butler Snow attorneys Kristin E. Konschnik and Barton T. Lee recently authored a Tax Notes International article about tax and securities law issues in inbound private client structures.
Cadwalader, Wickersham & Taft LLP
The Securities and Exchange Commission (the "SEC") on June 5 adopted Regulation Best Interest: The Broker-Dealer Standard of Conduct
Foley & Lardner
The modern day supply chain is ever more complex. Add to that the fact that it is under an almost daily attack from the current political climate.
Akin Gump Strauss Hauer & Feld LLP
On June 5, 2019, the Securities and Exchange Commission (SEC) adopted a comprehensive interpretation (the "Interpretation")1 of the fiduciary duties
Mayer Brown
On June 5, 2019, the Securities and Exchange Commission (SEC) adopted Regulation Best Interest (Rule 15l-1 under the Securities Exchange Act of 1934 (Exchange Act)),
Cleary Gottlieb Steen & Hamilton LLP
New Standards Seek to Maintain Flexibility But Leave Open Questions About Scope and Enforcement.
Milbank LLP
Milbank LLP has been named a finalist for "Coolest Amenities" in the second annual Crain's New York Business feature on the Coolest Offices in New York.
Orrick
I love first-time founders. They're true believers focused on creating a better future powered by better ideas.
Cooley LLP
As noted above, the SEC has increasingly called out some tailored accounting measures as potentially misleading.
Orrick
As a pioneer in DNA synthesis with several patents to her name, Dr. Emily Leproust could have enjoyed a distinguished career without ever leaving the lab.
Reed Smith
It is a fairly common situation. A company is facing an issue that someone thinks the board of directors ought to know about, so general counsel retains outside counsel to provide advice
Gibson, Dunn & Crutcher
Deferred Prosecution Agreements (DPAs) and Non-Prosecution Agreements (NPAs) are favored enforcement tools for resolving white collar investigations that have figured prominently in some of the largest and most complex multi-agency and cross-border resolutions
Orrick
Last week, the Securities and Exchange Commission (SEC) voted to adopt what is popularly known as "Regulation Best Interest" (often referred to as "Reg BI").
Ropes & Gray LLP
On June 5, 2019, the SEC held an open meeting and issued a long-awaited final interpretation entitled "Commission Interpretation Regarding Standard of Conduct for Investment Advisers"
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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.
BakerHostetler
As of this week, the World Bank and Commonwealth Bank have enabled secondary market trading recorded on the blockchain for bond-i ...
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.
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 ...
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
Issuers of bonds governed by New York law indentures – the instrument containing the rights and obligations of the issuer, the trustee for the bondholders and the noteholders under the bonds
Eide Bailly LLP
We bring you the hacks, vulnerabilities and challenges of securing your daily habits and work environment.
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.
Cooley LLP
Many have recently lamented the decline in the number of IPOs and public companies generally (about half the number since the boom in 1996), and numerous reasons have been offered in explanation, from regulatory burden to hedge-fund activism.
Cadwalader, Wickersham & Taft LLP
Since the start of 2018, state and, to a lesser extent, federal courts around the country, as well as state legislatures and Congress,
Sheppard Mullin Richter & Hampton
On May 15, 2019, President Trump issued an Executive Order ("EO") targeting activities of certain foreign telecommunications companies based in hostile countries.
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