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Searching Content from United States indexed under Corporate/Commercial Law ordered by Published Date Descending.
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1
Diversity Disclosure Requirements: SEC Staff Issues New C&DIs Clarifying Regulation S-K Requirements
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.
United States
18 Feb 2019
2
SEC Issues New Guidance On Diversity Disclosure Requirements
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...
United States
18 Feb 2019
3
SEC Highlights Need To Remediate ICFR Material Weaknesses
Disclosure alone is not sufficient; material weaknesses need to be actively remediated.
United States
18 Feb 2019
4
Protect Your Rule 10b5-1 Plans From Attack: Best Practices
A single annual plan is stronger than four quarterly plans.
United States
18 Feb 2019
5
How To Enforce An Arbitration Subpoena: Jurisdiction And Venue Basics
The Federal Arbitration Act §7 (9 U.S.C. §7) enables arbitrators to "summon … any person to attend before them or any of them as a witness and in a proper case to bring with him or them any [document] which may be deemed material as evidence in the case."
United States
15 Feb 2019
6
Privacy Shield-Certified Organizations: Key Takeaways From The Privacy Shield Annual Review
The EU regulators' recent report on the second annual review of the EU-US Privacy Shield provides some valuable compliance reminders for organizations that have certified or intend to certify to the Privacy Shield program.
United States
15 Feb 2019
7
Hunton Retail Law Resource Blog: Recent Trends In Shareholder Proposals
Activist investors continue to make liberal use of the SEC's Rule 14a-8 to submit proposals for inclusion in company proxy statements.
United States
15 Feb 2019
8
Navigating The Risks Of Blockchain Technology In Commercial Real Estate
Cryptocurrencies like Bitcoin and Ether continue to dominate the headlines, but these tokens could not exist without blockchain.
United States
15 Feb 2019
9
New Bill To Exempt Low-Revenue Companies From SOX 404(B) - Have We Reached An Inflection Point?
That's because, in 2016, the House passed the Fostering Innovation Act of 2015—the very same bill.
United States
15 Feb 2019
10
New Jersey District Court Dismisses Putative Securities Fraud Class Action For Failure To Plead Scienter
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
United States
15 Feb 2019
11
A Boiling Frog? Merger Enforcement Of Early-Stage Tech Companies
Fable has it that a frog placed in tepid water slowly brought to a boil will not perceive danger until it is too late to leap.
United States
15 Feb 2019
12
FIF Provides Recommendations To SEC On Modernizing Regulation NMS
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.
United States
15 Feb 2019
13
Supreme Court To Address The Power Of States To Tax Trusts
More than $120 billion of our nation's income flows through trusts, and the Supreme Court will hear a case that may clarify how much states are able to tax.
United States
15 Feb 2019
14
Disclosure Of Board Self-Identified Diversity Characteristics
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),
United States
15 Feb 2019
15
An Introduction To Secondary Auctions For Private Companies
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.
United States
15 Feb 2019
16
Commercial Mortgage Alert Ranks Cadwalader Number-One Law Firm For Work On Commercial MBS Offerings
Commercial Mortgage Alert ranked Cadwalader as the number-one law firm for advising both issuers and underwriters on commercial mortgage-backed securities.
United States
15 Feb 2019
17
MSRB Amends Guidance On Best Execution Rule
The MSRB adopted clarifying amendments to the Implementation Guidance on MSRB Rule G-18 ("Best Execution").
United States
15 Feb 2019
18
SEC Chair And Commissioner Advocate For Proxy Reforms
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.
United States
15 Feb 2019
19
SEC Proposes Changes To Regulatory Framework Of Fund Of Funds Arrangements
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,
United States
15 Feb 2019
20
Bigger Is Better. . .Or Maybe Not: The Siemens/Alstom Railway Merger
The European Commission recently reaffirmed that industrial policy objectives have no role to play when it comes to applying the EU merger control rules. Despite unusually intense industrial
European Union
15 Feb 2019
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