Mondaq USA: Corporate/Commercial Law
Cadwalader, Wickersham & Taft LLP
The SEC approved amendments to FINRA's customer and industry arbitration rules concerning arbitration honorariums.
Cadwalader, Wickersham & Taft LLP
Based on the results of its Tick Size Pilot Program (the "Pilot"), the SEC found that increasing the tick size for certain small capitalization stocks did not affect stock prices.
Cadwalader, Wickersham & Taft LLP
Three broker-dealers agreed to settle SEC charges for failing to submit complete and accurate securities trading information on electronic blue sheets.
Cadwalader, Wickersham & Taft LLP
SEC Chair Jay Clayton, SEC Chief Accountant Wesley Bricker and Public Company Accounting and Oversight Board ("PCAOB") Chair William D. Duhnke III raised concerns about foreign markets that restrict access to information about U.S.-listed companies operating overseas.
Day Pitney LLP
One of the great things about limited liability companies (LLCs) is the flexibility they provide. Unlike a corporation, you don't need boards of directors ...
Womble Bond Dickinson
As calendar year-end companies ramp up for year-end reporting and proxy season, Institutional Shareholder Services (ISS) and Glass Lewis & Co. (GL) have released updates to their proxy voting guidelines.
Shearman & Sterling LLP
On December 6, 2018, Chief Judge Patti Saris of the United States District Court for the District of Massachusetts dismissed a putative class action asserting claims under the Securities Exchange Act of 1934 and Rule 10b-5.
Cadwalader, Wickersham & Taft LLP
In remarks at the 2018 Municipal Securities Disclosure Conference, SEC Office of Municipal Securities Director Rebecca Olsen and Commissioner Kara M. Stein outlined the two different approaches they believe the SEC should take to improve the municipal issuer disclosures.
Cadwalader, Wickersham & Taft LLP
SEC Chair Jay Clayton outlined progress made on the agency's 2018 agenda, key initiatives planned for 2019 including review of the proxy process, and risks associated with Brexit, the LIBOR transition and cybersecurity.
Seyfarth Shaw LLP
This latest FTC enforcement action is a reminder that the HSR Act contains some nuance that can create traps for the unwary.
TMF Group
Como un gran fanático del béisbol que soy (¡Vamos Red Sox!), uno de los aspectos más fascinantes del deporte es cuán internacional se ha vuelto.
Proskauer Rose LLP
A lot of ink has been spilled over the crime of insider trading, which – in the view of U.S. District Judge Jed Rakoff – "is a straightforward concept that some courts have managed to complicate."
Morrison & Foerster LLP
As discussed in a prior client alert, on October 1, 2018, the Delaware Court of Chancery upheld a buyer's termination of a merger agreement and found that the target had suffered a material adverse
Mayer Brown
FINRA today published its Report on FINRA Examination Findings and highlights private placement related concerns. In its examinations of the practices of many broker-dealers ...
Cadwalader, Wickersham & Taft LLP
The SEC granted to three exchange-traded funds ("ETFs") standard exemptive relief from Exchange Act Rule 10b-17(b)(1)(v)(a) and (b) ("untimely announcements of record dates").
Cadwalader, Wickersham & Taft LLP
The SEC charged an IT contractor and two of his family members with insider trading.
Cadwalader, Wickersham & Taft LLP
SEC Chair Jay Clayton advised municipal issuers to focus on providing "timely and accurate" financial disclosures for investors.
Cadwalader, Wickersham & Taft LLP
SEC Commissioner Hester M. Peirce urged the agency to keep its rules current.
Mayer Brown
REVERSEinquiries is Mayer Brown's structured and market-linked products-focused newsletter.
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
The duties imposed on compensation committees of publicly traded companies have evolved and grown over time.
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
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.
Mayer Brown
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Troutman Sanders LLP
Non-bank lenders to small businesses need to be on alert after Governor Brown signed California Senate Bill 1235 into law on September 30, 2018.
Matson Driscoll & Damico
In my previous article, I discussed the critical need for business owners to have their business valued by a professional appraiser.
Lewis Brisbois Bisgaard & Smith LLP
The 2018 California legislative session was another busy year with numerous employment-related bill signed into law.
Bowditch & Dewey
Formerly known as the Smaller Business Association of New England (SBANE), the New England Business Association's Senior Executive Circle is a peer-to-peer advisory group...
Smith Gambrell & Russell LLP
Trademark Owners are being inundated with trademark solicitations and scams from a variety of sources. The trickery often begins with an abusive and misleading email.
Troutman Sanders LLP
The implementation period for changes in lease accounting standards under United States generally accepted accounting principles ("GAAP") ...
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