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Searching Content from United States indexed under Corporate/Commercial Law ordered by Published Date Descending.
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1
SEC Division Of Corporation Finance Associate Director To Retire
SEC Division of Corporation Finance Associate Director James M. Daly will retire at the end of September.
United States
20 Sep 2019
2
NFA Updates FAQs Concerning New Swaps Proficiency Requirements
As previously covered, NFA amended (i) NFA Bylaw 301 and NFA Compliance Rule 2-24, and (ii) the Interpretive Notice relating to proficiency requirements for individuals engaged in swaps activities.
United States
20 Sep 2019
3
House Approves Bill To Improve Agency Coordination Of Bank Services Company Examinations
The House approved a bill designed to make bank service company examinations more efficient by improving coordination among regulators.
United States
20 Sep 2019
4
Financial Services Subcommittee Examines Private Market Exemptions
At a House Financial Services Subcommittee hearing, representatives considered testimony on the impact of the growth of the private securities markets.
United States
20 Sep 2019
5
Turning Up The Volume Of Board Diversity
The corporate governance debate among companies, institutional investors and advocacy groups has taken a shift over the past few proxy seasons.
United States
20 Sep 2019
6
SEC Staff Issues Guidance On Inline XBRL
On August 20, 2019, the Staff of the SEC's Division of Corporation Finance published nine new Compliance and Disclosure Interpretations on the use of Inline XBRL
United States
20 Sep 2019
7
SEC's Division Of Corporation Finance Revamps Administration Of No-Action Requests Under Rule 14a-8 Regarding Shareholder Proposals
Changes May Create New Challenges for Public Companies, and Signal a Reduction of the SEC Staff's Traditional Role As Arbiter Between Companies and Shareholders
United States
20 Sep 2019
8
ISS releases 2019 Global Policy Survey
ISS recently released the results of its 2019 Global Policy Survey. In this year's integrated survey, the topics included board gender diversity, overboarding, sunsetting of multi-class capital structures, ...
United States
20 Sep 2019
9
The State AG Report Weekly Update September 12, 2019
50 AGs, led by Texas AG Ken Paxton, announced an investigation into Google over allegedly anticompetitive behavior in violation of state and federal antitrust laws.
United States
20 Sep 2019
10
Family Offices: New Beginnings For Alternative Capital Arrangements
Veteran family office operators and managers may have other quotations (or visions) from Mary Shelley's "Frankenstein" in mind
United States
20 Sep 2019
11
Podcast: DOJ's New Guidance On Evaluating Compliance Programs: What You Need To Know
In this episode, Akin Gump health care and life sciences counsel Taylor Jones and Matt Wetzel discuss the Justice Department's recent guidance on evaluation of corporate compliance programs.
United States
20 Sep 2019
12
SEC Risk Alert Cites Frequent Principal And Agency Cross Trading Issues For Advisers
On September 4, the SEC's Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert (the "Risk Alert")
United States
20 Sep 2019
13
SEC Proposes To Modernize Disclosures Of Business, Legal Proceedings And Risk Factors Under Regulation S-K
On August 8, 2019, the Securities and Exchange Commission (the "SEC") issued a release (the "Release") proposing amendments to Regulation S-K Items 101
United States
20 Sep 2019
14
Delaware Court Rules Appraisal Action Is A Covered "Securities Claim" Under D&O Policy
The Delaware Superior Court's Solera ruling lends considerable support to corporations seeking D&O insurance coverage for shareholder appraisal proceedings.
United States
19 Sep 2019
15
Cadwalader Cabinet Takes On Regulatory Change Management (Video)
Regulatory change significantly increases overhead expenses for financial institutions. The Cabinet offers tools that allow firms and individuals to track regulatory developments
United States
19 Sep 2019
16
SEC Grants Exemption To Real Estate Investment Trust To Repurchase Shares
The SEC Division of Corporate Finance and Office of Mergers and Acquisitions granted no-action relief to a Maryland-based real estate investment trust (the "REIT") from Securities Exchange Act
United States
19 Sep 2019
17
SEC Chief Accountant Highlights LIBOR Transition Reporting And Auditing Issues
SEC Chief Accountant Sagar Teotia reviewed domestic and international accounting and auditing developments in the capital markets.
United States
19 Sep 2019
18
Newly Elected NASAA President Outlines Priorities
North American Securities Administrators Association ("NASAA") President Christopher Gerold will focus on compliance enforcement
United States
19 Sep 2019
19
Avoiding Board Observer Liability Under Section 11 Of The Securities Act Of 1933
Lenders and other constituencies will under certain circumstances request and be granted "board observer" rights pursuant to a loan agreement or other contract.
United States
19 Sep 2019
20
SEC's OCA Updates Auditor Independence FAQs
The SEC's Office of Chief Accountant has updated its FAQs regarding auditor independence. The new and revised questions relate to the general standard for independence
United States
19 Sep 2019
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