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Searching Content indexed under Directors and Officers by Mayer Brown ordered by Published Date Descending.
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1
Market Trends 2018/19: Pay Ratio Disclosure
This market trends article discusses the Securities and Exchange Commission's (SEC's) pay ratio rulemaking, which was mandated by the Dodd-Frank Wall Street Reform...
United States
7 Oct 2019
2
Establishing An Issuer Rule 10b5-1 Plan With An ATM Offering
This article summarizes key questions that an issuer may raise in connection with deciding whether to establish a Rule 10b51 trading plan in conjunction with the issuer's at-the-market offering program.
United States
3 Oct 2019
3
2020 Proxy And Annual Report Season: Time To Get Ready—Already
As summer closes and autumn begins, it is time for public companies to begin planning for the 2020 proxy and annual report season.
United States
1 Oct 2019
4
Business Development Company Guide For Capital Markets
In this Lexis Practice Advisor® Practice Note, we provide answers to questions frequently asked by securities lawyers and their clients regarding the federal securities laws
United States
10 Sep 2019
5
Bills Promoting Board Diversity Advance In Congress
Earlier this month, the U.S. House Financial Services Committee passed, with overwhelming bi-partisan support, three bills to promote gender, racial and ethnic diversity on corporate boards.
United States
1 Aug 2019
6
Delaware Decision Breathes New Life Into Bad Faith Claims Against Directors: Practical Advice After Marchand V. Barnhill Allows Bad Faith Claim Based On Failure To Monitor Central Compliance Risks
In the recent case of Marchand v. Barnhill, the Delaware Supreme Court reversed the dismissal of a claim that the directors of Blue Bell Creameries USA, Inc.
United States
12 Jul 2019
7
The Up-C Structure In IPOs
The umbrella partnership - C corporation structure ("Up-C") is an indirect mode for an operating partnership to conduct an initial public offering ("IPO").
United States
29 May 2019
8
Federal Reserve Proposes Significant Revisions To Regulatory Control Rules
On April 23, 2019, the Board of Governors of the Federal Reserve System (the "Board") approved a long-awaited proposal (the "Control Proposal" or "Proposal") to revise its rules for determining
United States
17 May 2019
9
Mitigating The Impact Of A Material Weakness On The Election Of Directors
Where companies have disclosed repeated or ongoing material weaknesses in internal controls over financial reporting, or where a company's first material weakness requires a restatement
United States
10 Apr 2019
10
SEC Loosens In-Person Voting Requirement For BDC Boards
On February 28, 2019, the staff of the Securities and Exchange Commission's Division of Investment Management issued a no-action letter
United States
22 Mar 2019
11
SEC Staff Grants Limited No-Action Relief Regarding The In-Person Board Meeting Requirement Under The Investment Company Act
On February 28, 2019, the staff of the SEC's Division of Investment Management granted no-action relief in connection with the 1940 Act's in-person meeting requirements ...
United States
19 Mar 2019
12
New York Subjects State Licensees To Whistleblower Protections
Add the New York Department of Financial Services (the "DFS" or "Department") to the veritable orchestra of governmental entities and regulatory authorities that have issued requirements
United States
20 Feb 2019
13
Corporate Governance In Pre-IPO Companies
In a recent paper, "Scaling Up: the Implementation of Corporate Governance in Pre-IPO Companies," authors David F. Larcker and Brian Tayan review governance practices and how these evolve in the lead-up to an IPO.
United States
25 Jan 2019
14
10 Tips For 10-Ks And Proxy Statements
With preparations shifting into high gear for calendar-year companies that file annual reports on Form 10-K and proxy statements with the US SEC, here are tips to consider when drafting these documents.
United States
9 Jan 2019
15
A Year To Remember For Business Development Companies
With 2018 now in the rearview mirror, we summarize below several of the encouraging regulatory developments for business development companies (BDCs) that occurred during 2018
United States
8 Jan 2019
16
SEC Applies New Hedging Requirement To BDCs following Industry Silence
As detailed in our Legal Update, on December 18, 2018, the Securities and Exchange Commission ("SEC") adopted a final rule requiring companies to disclose their hedging policies for employees
United States
7 Jan 2019
17
Summary Of California Laws Enacted In 2018 Impacting The State's Financial Services Industry: What To Look Forward To (And Prepare For) In California In 2019
2018 was an active year for the California legislature in enacting laws that will impact the financial services industry—both directly and indirectly.
United States
7 Jan 2019
18
SEC Adopts Dodd-Frank Hedging Disclosure Rule
On December 18, 2018, the US Securities and Exchange Commission (SEC) adopted a final rule requiring companies to disclose their hedging policies and practices for employees,
United States
4 Jan 2019
19
Top 10 Practice Tips: Lock-up Agreements
In connection with securities offerings, the underwriters or placement agents generally negotiate a lock-up agreement with the issuer, as well as with the issuer's directors, officers ...
United States
4 Jan 2019
20
New CA Laws On Gender Disparity, Sexual Harassment In The Workplace Take Effect In New Year
Starting January 1, 2019, a number of new laws inspired by the #MeToo movement will take effect in California.
United States
19 Dec 2018
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