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Searching Content from United States indexed under Corporate/Commercial Law ordered by Published Date Descending.
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1
Proxy Advisory Firm Guidance Withdrawn By The SEC
The Staff's withdrawal of the two no-action letters was met by immediate and diverging reactions by commentators.
United States
20 Sep 2018
2
ISS Reveals Results Of Most Recent Governance Principles Survey
ISS has posted the results of its most recent Governance Principles Survey, which can sometimes guide future ISS policies.
United States
20 Sep 2018
3
SEC Withdraws Two No-Action Letters Regarding Use Of Proxy Advisory Firms – Chairman Clayton Issues Statement Regarding Staff Views
On September 13, 2018, the Division of Investment Management issued an Information Update in which it announced the withdrawal of two no-action letters concerning the circumstances under which ...
United States
20 Sep 2018
4
In Khoja, The Ninth Circuit Limits Defendants' Ability To Argue Facts In A Motion To Dismiss
In Khoja v. Orexigen Therapeutics, Inc., the Ninth Circuit clarified the "rare circumstances" when a court may review documents extraneous to the pleadings in ruling on a motion to dismiss.
United States
20 Sep 2018
5
Reg. Tracker: September 15 To September 30
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, compliance dates, effective dates and expiration dates.
United States
20 Sep 2018
6
SEC Reduces Whistleblower Award Due To Delayed Reporting
The SEC reduced a whistleblower award after discovering that the whistleblower financially benefited from waiting to report the misconduct.
United States
20 Sep 2018
7
Broker-Dealer Settles FINRA Charges For Failing To Prevent Non-Bona Fide Transactions
A broker-dealer agreed to a censure and a $20,000 fine to settle FINRA charges for failing to have an adequate supervisory system as well as written supervisory procedures ("WSPs") ...
United States
20 Sep 2018
8
United Technologies Hit With $13.9 Million Fine For Making Illicit Payments
On September 12, 2018, the United Technologies Corporation reached a $13.9 million resolution with the SEC over allegations that it violated the anti-bribery, books and records, and internal accounting controls provisions ...
United States
20 Sep 2018
9
Impact Of Tax Reform On The Purchase And Sale Of Controlled Foreign Corporations — Selected Considerations
The application of ง1248 and ง338(g) in the context of the purchase or sale of a controlled foreign corporation (CFC) has long been one of the most complex areas of the tax code. The recently enacted...
United States
20 Sep 2018
10
In Case You Missed It: Launch Links - Week Of September 9, 2018
Large corporations have begun to patent blockchain technologies relating to their core businesses.
United States
19 Sep 2018
11
A More Modern Approach To OFCCP's Functional Affirmative Action Programs?
Generally, federal contractors must develop a written affirmative action program for every physical location with 50 or more employees.
United States
19 Sep 2018
12
Increased SEC Enforcement Action And Litigation In The Cryptocurrency Space
The SEC is continuing its probe into public companies that appear to incorporate and seek to capitalize on the blockchain technology.
United States
19 Sep 2018
13
SEC's Investor Advisory Committee Discusses Proxy Plumbing
At a meeting last week of the SEC's Investor Advisory Committee, the primary focus of the discussion was the panoply of problems associated with the infrastructure supporting the proxy voting system, so-called "proxy plumbing."
United States
19 Sep 2018
14
2019 Proxy And Annual Reporting Season: Let The Preparations Begin
It is already that time of year when public companies should be thinking about the 2019 proxy and annual reporting season
United States
19 Sep 2018
15
New IRS Guidance Regarding Section 162(m)'s Deduction Limitation For Executive Compensation – Increased Complexity And Reduced Availability Of Grandfathering
Another important issue addressed by the Notice is the interpretation of the amendments made to the definition of "covered employee."
United States
19 Sep 2018
16
Northern District Of California Finds Scienter And Individual Reliance Adequately Pleaded, But Stresses That Issues Respecting Class-Wide Reliance Remain To Be Considered
On September 7, 2018, Judge Charles Breyer of the United States District Court for the Northern District of California denied a motion to dismiss a second amended putative class action complaint on behalf of Volkswagen bondholders ...
United States
19 Sep 2018
17
Ninth Circuit Court Of Appeals Reaffirms CA Attorney General's Demand For Donor List
A three-judge panel of the Ninth Circuit Court of Appeals recently upheld the position of the California Attorney General (AG) that charities located or doing business in California must provide a copy ...
United States
19 Sep 2018
18
OFCCP Launches New Resource For Contractors
The Office of Federal Contract Compliance Programs ("OFCCP") has announced that it has launched a new resource for federal government contractors called the "Contracting Officer Corner."
United States
19 Sep 2018
19
Crypto Crackdown – SEC Imposes Broker-Dealer And Investment Company Registration Provisions On Token Traders And A Crypto Fund
The SEC announced a pair of settled orders on Tuesday extending additional provisions of the securities laws over ICOs and other digital assets – the agency's first ever enforcement actions of their kind.
United States
19 Sep 2018
20
DTCC Offers Recommendations To Strengthen Financial Stability And Improve System-Wide Resilience
The Depository Trust & Clearing Corporation ("DTCC") identified continuing post-crisis risks and emerging threats and offered recommendations to improve the financial stability of the global financial industry.
United States
18 Sep 2018
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