Searching Content indexed under Shareholders by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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SEC Revises Approach To Proxy No-Action Requests
The SEC Division of Corporate Finance (the "Division") revised its approach to no-action requests by companies wishing to exclude a shareholder's
United States
11 Sep 2019
SEC Staff Allows Company To Exclude Shareholder Mandatory Arbitration Proposal From Proxy Materials
The staff of the SEC Division of Corporation Finance (the "Division") will not recommend enforcement action against a U.S. company for excluding a shareholder proposal from its proxy materials.
United States
19 Feb 2019
Sec Roundtable Examines Proxy Process
At a roundtable event, SEC Commissioners set the stage for market participants to discuss (i) proxy voting mechanics and technology, (ii) the shareholder proposal process and (iii) the role...
United States
22 Nov 2018
SEC Division Director Expresses Support For Reg BI, Discusses Disclosure Modernization
SEC Division of Investment Management Director Dalia Blass expressed support for Regulation Best Interest (Reg BI) and discussed the recently proposed disclosure framework ...
United States
14 Nov 2018
IRS Proposes Restricting "Deemed Repatriations" By Controlled Foreign Corporations
The U.S. Treasury Department and the IRS proposed regulations that affect certain U.S. corporations that own, or are treated as owning, stock in foreign corporations.
United States
13 Nov 2018
Division Of Corporation Finance Agrees Stock In Water Company Not A Security
The SEC Division of Corporation Finance agreed that common stock issued by a mutual water company organized pursuant to the California General Corporation Law is not a "security" for purposes of the Securities Act.
United States
2 Nov 2018
SEC Division Of Corporation Finance Provides Guidance On Shareholder Proposals
The SEC Division of Corporation Finance (the "Division") provided guidance concerning when a company may exclude certain shareholder proposals in its proxy statement pursuant to Exchange Act Rule 14a-8 ("Shareholder Proposals").
United States
31 Oct 2018
SEC Offers Guidance On Regulation Crowdfunding
In a new set of FAQs issued by staff, the SEC Division of Trading and Markets provided guidance for intermediaries offering services in connection with the offering ...
United States
7 Oct 2018
SEC Chair Advises Staff To Consider Preventive Measures In Combating Retail Investor Fraud
SEC Chair Jay Clayton asked SEC staff to examine whether the current regulatory framework effectively prevents fraudulent activity.
United States
4 Oct 2018
SEC Commissioner Criticizes Morality-Based Regulation Of Corporations
In her remarks, Ms. Peirce referenced a bill recently passed in California that would regulate the gender composition of corporate boards.
United States
28 Sep 2018
SEC Provides Guidance On Online Delivery Of Investment Company Shareholder Reports
The SEC provided guidance on ICA Rule 30e-3 (the "Rule") to certain registered investment companies.
United States
15 Aug 2018
Delaware Court Of Chancery Considers Shareholder Challenge To Voting Proxy Agreement
The Delaware Court of Chancery denied in part a motion to dismiss a lawsuit brought by a Charter stockholder who challenged a voting proxy agreement between Liberty Broadband Corporation...
United States
13 Aug 2018
Court Of Chancery Issues Important Decision On Implied Covenant Breach Claims
The Delaware Court of Chancery granted defendants' motion to dismiss an action brought by minority unitholders of Trumpet Search, LLC ("Trumpet").
United States
16 Feb 2018
SEC Provides Guidance On Shareholder Proposals
The SEC Division of Corporation Finance (the "Division") published a staff legal bulletin providing information on the scope and application of Exchange Act Rule 14a-8 (Shareholder Proposals).
United States
9 Nov 2017
SEC Names Managing Executive
The SEC named Peter Uhlmann managing executive in the Office of SEC Chair Jay Clayton. Mr. Uhlmann served most recently as managing executive for Acting SEC Chair Michael Piwowar.
United States
7 Jun 2017
SEC Exempts Israeli Company From Certain Tender Offer Requirements
The SEC Division of Corporation Finance granted an exemption to Israeli-based corporation Metalink Ltd. from Exchange Act Rule 13e-4(f)(2)(I).
United States
28 Dec 2016
FINRA Sets Effective Date For Amendments To Rules Governing Communications With The Public
FINRA notified member firms that the SEC has approved amendments to FINRA rules governing communications with the public.
United States
8 Nov 2016
Blog Post Examines Recent Proxy Voting Error
Mr. Clearfield stated that the challenge for any firm using complex technology is to identify where errors might lurk.
United States
21 Jun 2016
Financial Services Subcommittees Examine Proposals On Capital Formation (With Delta Strategy Group Summary)
House Subcommittees on Capital Markets and Government Sponsored Enterprises conducted a joint hearing to examine three legislative proposals intended to enhance capital formation, transparency and regulatory accountability.
United States
31 May 2016
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