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Searching Content indexed under Corporate/Commercial Law by WilmerHale ordered by Published Date Descending.
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1
SEC Division Of Corporation Finance Realigns Disclosure Program
On Friday, the Securities and Exchange Commission's Division of Corporation Finance announced big changes in the internal structure of its disclosure program.
United States
16 Oct 2019
2
SEC Announces Changes To Its Responses To Rule 14a-8 No-Action Requests
On Friday, the Securities and Exchange Commission released an Announcement Regarding Rule 14a-8 No-Action Requests with important updates to its process of administering Exchange Act
United States
11 Sep 2019
3
Juniper FCPA Settlement Provides Useful Compliance Reminders
On August 29, 2019, the Securities and Exchange Commission ("Commission" or "SEC") agreed to resolve an enforcement action against Juniper Networks, Inc.
United States
6 Sep 2019
4
The Countdown Is On! Building A Reg BI Compliance Program As Deadlines Loom
On June 5, 2019, the SEC adopted a package of rulemakings and interpretations designed to enhance the quality and transparency of investors' relationships with broker-dealers and investment advisers.
United States
4 Sep 2019
5
SEC Releases New Guidance Related To The Proxy Voting Process For Investment Advisers And Proxy Advisory Firms
Following a 3-2 vote last week, the Securities and Exchange Commission has released two pieces of guidance related to the proxy voting process:
United States
29 Aug 2019
6
SEC Holds Kokesh Does Not Impact FINRA Industry Bar
On August 23, 2019, the Securities and Exchange Commission held in In re John M.E. Saad that the US Supreme Court's decision in Kokesh v. SEC had no impact on the Financial Industry Regulatory Authority's.
United States
29 Aug 2019
7
Sounding The Bell For Proactive Risk Oversight
The Delaware Supreme Court recently sounded a warning bell for directors, reminding that as part of their duty of loyalty, they "must make a good faith effort to implement an oversight system
United States
19 Aug 2019
8
UK Serious Fraud Office Publishes Corporate Co-Operation Guidance
On 6 August 2019, the UK Serious Fraud Office (‘SFO') published Corporate Co-operation Guidance (‘Guidance')
UK
19 Aug 2019
9
New York Commercial Division Justice Holds PSLRA Discovery Stay Applies To State Court Securities Act Class Actions
On August 6, 2019, New York Commercial Division Justice Andrew Borrok held that the discovery stay under the Private Securities Litigation Reform Act (PSLRA)
United States
15 Aug 2019
10
The SEC Adopts Security-Based Swap Rules Governing Capital, Margin And Segregation
On June 21, 2019, the SEC adopted a package of rules and rule amendments that set forth the capital, margin and segregation requirements for security-based swap dealers and major security-based swap participants.
United States
2 Aug 2019
11
House Financial Services Committee Introduces Legislation To Overhaul SEC Waiver Process
Over the past several weeks, competing views have emerged from Capitol Hill and the SEC over how the SEC should approach waivers of collateral consequences for parties that settle enforcement proceedings.
United States
29 Jul 2019
12
China's 2019 Negative Lists
China's National Development and Reform Commission (NDRC) and Ministry of Commerce (MOFCOM) as expected published three lists on foreign investment on June 30...
United States
11 Jul 2019
13
The Legend Of The "Secumodity": Can The Same Coin Be A Security Or Commodity At Different Points In Its Evolution?
In an article published in Futures and Derivatives Law Report, Petal P. Walker discusses the blurry line between a virtual currency and an investment contract.
United States
9 Jul 2019
14
Disinformation Is Harming Businesses. Here Are 6 Ways To Fight It
Last month, a video that appeared to show House Speaker Nancy Pelosi slurring her words went viral on social media.
United States
8 Jul 2019
15
Four Things Every Smart Startup Should Do As It Scales
It's easy and convenient to keep doing what you've been doing as you scale.
United States
5 Jul 2019
16
House Of Lords' Bribery Act Report Asks The Right Questions
The House of Lords Bribery Act 2010 Committee published its "post-legislative scrutiny" report on March 14, 2019.
UK
4 Jul 2019
17
Confidential Treatment Process Gets Easier
The SEC has approved rule changes that significantly simplify the process for public companies to redact confidential information from the exhibits required to be filed as part of SEC reports and registration statements.
United States
4 Jul 2019
18
7 Tips For Biotech Companies Seeking Capital In A Volatile Market
The article provides a recap of the 2018 market for early-stage public biotech companies...
United States
2 Jul 2019
19
SEC's Final Rules And Guidance On The Standards Of Conduct For Broker-Dealers And Investment Advisers
On June 5, 2019, the Securities and Exchange Commission approved a package of rulemakings and interpretations designed to enhance the quality and transparency of investors' relationships...
United States
18 Jun 2019
20
SEC Enforcement Alert: D.C. Circuit Rules Negligent Conduct Is Not "Willful"
On April 30, 2019, the D.C. Circuit issued an important decision in Robare Group, Ltd. v. SEC, Slip Op. No. 16-1453, which rejected the long-standing approach of the SEC that a "willful" violation of the federal securities laws ...
United States
7 Jun 2019
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