Mondaq USA: Corporate/Commercial Law > Securities
Jones Day
The Situation: In an effort to update the rules to improve disclosures for investors and to simplify compliance efforts for registrants, the U.S. Securities and Exchange Commission ("SEC")
Kramer Levin Naftalis & Frankel LLP
La loi n° 2018-727 du 10 juillet 2018 a prévu des ordonnances pour réformer le régime du taux effectif global, dont l'une pour les sanctions civiles.
Mayer Brown
At the Economic Club of New York, in keynote remarks, Chair Clayton reviewed the Securities and Exchange Commission's recent initiatives.
Cadwalader, Wickersham & Taft LLP
The SEC proposed various measures to "facilitate additional progress" in the implementation of the Consolidated Audit Trail ("CAT").
Cadwalader, Wickersham & Taft LLP
The recently approved SEC Proxy-Advisor Guidance and Interpretation and Guidance on Proxy Voting Advice were published in the Federal Register.
Cadwalader, Wickersham & Taft LLP
A former Chief Compliance Officer/General Securities Principal ("CCO/GSP") settled FINRA charges for failing to (i) update employee forms concerning reportable events within 30 days of discovery
Cadwalader, Wickersham & Taft LLP
The North American Securities Administrators Association ("NASAA") identified recent enforcement trends in an annual summary of state enforcement actions.
DLA Piper
The SEC recently proposed amendments to Regulation S-K related to a registrant's required disclosures concerning the description of its business
Gibson, Dunn & Crutcher
On September 6, 2019, the Division of Corporation Finance (the "Staff") of the Securities and Exchange Commission ("SEC") announced
Mayer Brown
On September 6, 2019, the Division of Corporation Finance of the US Securities and Exchange Commission announced a significant change to its process with respect
Bennett Jones LLP
The United States Securities and Exchange Commission (SEC) recently issued guidance on the applicability of certain U.S. proxy rules to voting advice given by proxy advisory firms
Cadwalader, Wickersham & Taft LLP
The North American Securities Administrators Association ("NASAA") reported examination findings at state-registered investment advisers, highlighting the rising rate of cybersecurity deficiencies.
Cadwalader, Wickersham & Taft LLP
SEC Chair Jay Clayton criticized his foreign counterparts for their lack of anti-corruption enforcement, arguing that only through a collaborative global strategy on fighting offshore bribery will such efforts be successful.
Foley Hoag LLP
In 2018, the SEC adopted rules requiring the use of Inline eXtensible Business Reporting Language, often referred to as XBRL,
DLA Piper
The Securities and Exchange Commission (SEC) recently issued guidance clarifying the proxy voting responsibilities of investment advisers (IA Proxy Release).
Foley Hoag LLP
Issuers would be well-advised to take note of the SEC's recently announced $200,000 settlement of an enforcement action
Jones Day
In a significant ruling for policyholders on an issue of first impression, on July 31, 2019, the Delaware Superior Court determined that shareholder appraisal actions constitute
Arnold & Porter
On September 6, 2019, the SEC announced changes to how it will respond to companies that seek to exclude shareholder proposals from their proxy statements under Exchange Act Rule 14a-8.
Cooley LLP
Now you can find out.
Shearman & Sterling LLP
On August 29, 2019, Judge Jesse M. Furman of the U.S. District Court for the Southern District of New York dismissed most of the securities fraud claims
Latest Video
Most Popular Recent Articles
Cooley LLP
According to this recent study from consulting firm McKinsey, investors want to see a different kind of sustainability reporting.
Debevoise & Plimpton
The first half of 2019 has seen increased clarity on a number of substantial issues that have affected both general and limited private equity partners.
BakerHostetler
Earlier this week, cease and desist orders were issued against two online investment entities, Zoptax LLC and Unocall, as part of an ongoing effort coordinated by the North American
BakerHostetler
This week the U.S. Securities and Exchange Commission (SEC) announced that it has settled charges against SimplyVital Health Inc
Kramer Levin Naftalis & Frankel LLP
In March 2019, final rules amending Regulation S-K and related rules and forms were adopted. Included in these rules were requirements that registrants use Inline XBRL
Mayer Brown
The Annual Review of Federal Securities Regulation, prepared by the Subcommittee on Annual Review of the Committee on Federal Regulation of Securities of the ABA Business Law Section
Cooley LLP
At an open meeting yesterday, the SEC voted (three to two) to publish guidance aimed at addressing some of the long-simmering controversy surrounding the reliance by investment advisers on proxy advisory firms.
BakerHostetler
This week, the U.S. Securities and Exchange Commission (SEC) issued to Pocket Full of Quarters Inc. (PoQ) a no-action letter related to PoQ's distribution of its Quarters product, an ERC20 token.
DLA Piper
One of the big corporate governance related stories last month was the settlement agreement between the Securities and Exchange Commission (SEC) and Facebook Inc. arising from the misuse of Facebook user data and disclosures...
Article Search Using Filters
Related Topics
Mondaq Advice Center (MACs)
Popular Authors
Popular Contributors
Up-coming Events Search
Tools
Font Size:
Translation
Channels
Mondaq on Twitter
Partners
In association with