Mondaq USA: Corporate/Commercial Law
Hogan Lovells
The SEC's Division of Corporation Finance recently announced changes to its process for responding to no-action requests that seek exclusion from proxy materials of shareholder
Proskauer Rose LLP
Regulation of Custodial Practices under the Investment Advisers Act of 1940 is a comprehensive outline summarizing SEC regulatory requirements for investment advisers that have ...
Cadwalader, Wickersham & Taft LLP
The SEC proposed rescinding certain exceptions under Regulation NMS concerning fee changes to a national market system plan.
Mayer Brown
The relationship between record dates and ex-dividend dates (or "ex-dates") for dividends is sometimes unclear to market participants, ...
Sheppard Mullin Richter & Hampton
The Securities and Exchange Commission ("SEC") announced on September 26, 2019 that it voted to adopt the application of "testing-the-waters"
Orrick
On September 26, the Securities and Exchange Commission (SEC) announced three significant rulemakings. Summarized in a Public Statement by Chairman Jay Clayton, they are designed to achieve the following objectives.
Fenwick & West LLP
On September 26, 2019, the U.S. Securities and Exchange Commission (SEC) voted to adopt new Rule 163B under the Securities Act of 1933
Cleary Gottlieb Steen & Hamilton LLP
Global Crisis Management Series: This post is part 13 in a series concerning topics further elaborated on in Cleary Gottlieb's Global Crisis Management Handbook
Proskauer Rose LLP
On September 25, 2019, the Securities and Exchange Commission (the "SEC") adopted Rule 163B under the Securities Act of 1933
Proskauer Rose LLP
A settlement last week involving a private equity fund sponsor is a reminder that compliance with fee calculation provisions and valuation policies and procedures are crucially important for fund
Hogan Lovells
Some high-level considerations regarding what a company could do before and when faced with a government investigation.
Milbank LLP
Milbank LLP is advising Pittsburgh-based United States Steel Corporation ("U. S. Steel") on its joint venture partnership with Big River Steel ("Big River"). U. S.
Cadwalader, Wickersham & Taft LLP
FINRA adopted rule amendments that eliminate certain requirements applicable to research reports on "covered investment funds," in accordance with the Fair Access to Investment Research Act of 2017 ("FAIR Act").
Debevoise & Plimpton
The Securities and Exchange Commission adopted new Rule 163B to permit all issuers to engage in oral or written "testing-the-waters"
Cooley LLP
Among the issues considered were the impact of "dry runs," changes to company disclosures and changes in controls.
Ropes & Gray LLP
In this recap of our September presentation, which includes video and an accompanying transcript, panelists – life sciences regulatory & compliance partner Kellie Combs,...
Gibson, Dunn & Crutcher
On September 26, 2019, the U.S. Securities and Exchange Commission (the "SEC" or the "Commission") announced that it has adopted a new rule,...
Cleary Gottlieb Steen & Hamilton LLP
Last week, the Securities and Exchange Commission adopted a rule under which any issuer can "test the waters"
Cadwalader, Wickersham & Taft LLP
The SEC adopted revisions to the Electronic Data Gathering, Analysis and Retrieval System ("EDGAR")
Cadwalader, Wickersham & Taft LLP
An MSRB-proposed rule change to increase the professional fee for municipal advisors was published in the Federal Register.
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Lewis Brisbois Bisgaard & Smith LLP
The 2018 California legislative session was another busy year with numerous employment-related bill signed into law.
Torys LLP
The work of proxy advisory firms has been on the SEC's radar for several years. Extensive consultations with market participants and research into the role of proxy advisory firms
Reed Smith
In Securities and Exchange Commission v. ICOBox et al,[1] the Securities and Exchange Commission ("SEC") alleges that defendant ICOBox and its founder
Cooley LLP
According to this recent study from consulting firm McKinsey, investors want to see a different kind of sustainability reporting.
Winston & Strawn LLP
We hope that commenters will make sure we get this balance right by letting us know what, if any, specific measures would be useful for investors.
Cadwalader, Wickersham & Taft LLP
Since the start of 2018, state and, to a lesser extent, federal courts around the country, as well as state legislatures and Congress,
Pryor Cashman LLP
On September 30, 2019, Block.one became the most recent startup to settle with the SEC over an initial coin offering ("ICO").
Shearman & Sterling LLP
Corporate boards and executives continuously strive to identify and manage the key drivers of corporate performance.
Kirkland & Ellis International LLP
The SEC's Division of Corporation Finance announced that, starting with the 2019-2020 proxy season, it may issue oral rather than written guidance for some requests to exclude Rule 14a-8 shareholder
Proskauer Rose LLP
The trend of direct lenders providing preferred equity financing to support sponsors and operating companies has only accelerated in the two years since we first wrote on the topic (available here).
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