Searching Content indexed under Corporate Governance by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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Too Many Stakeholders in the Kitchen
High-stakes corporate investigations into bribery, corruption, and other misconduct—whether focused on internal actors or third-party business partners
United States
5 Sep 2019
SEC Commissioner Peirce Criticizes Efforts To Mandate Representation Of Women On Corporate Boards
SEC Commissioner Hester M. Peirce criticized efforts that would mandate gender requirements for the boards of public companies.
United States
12 Jul 2019
Cadwalader Attorneys Review Recent Developments In Corporate Governance Law
Cadwalader Attorneys reviewed recent judicial and regulatory developments on mergers and acquisitions, intra-corporate disputes and governance regulation.
United States
7 Jun 2019
Corporate Governance Litigation & Regulation: A Periodic Review And Predictions For The Remainder Of 2019
Since the start of 2018, state and, to a lesser extent, federal courts around the country, as well as state legislatures and Congress,
United States
6 Jun 2019
Senate Banking Committee Debates ESG And Corporate Governance
The Senate Banking Committee (the "Committee") considered the roles that special interest groups and retail investors play on environmental, social and corporate governance ("ESG").
United States
29 Apr 2019
SEC Clarifies Compliance And Disclosure Interpretations On Diversity
The SEC updated Compliance and Disclosure Interpretations of Regulation S-K to clarify disclosure of "self-identified diversity characteristics" required under Item 401
United States
13 Feb 2019
Reg. Tracker: December 16 To December 31 - December 17, 2018
FINRA proposed to amend Rules 7610A and 7620A to reduce the fees charged to retail participants that utilize the FINRA/Nasdaq Trade Reporting Facility ...
United States
28 Dec 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
SEC Division Of Investment Management Director Reviews Regulation Of Fund Boards
SEC Division of Investment Management Director Dalia Blass described the principles guiding the agency's initiatives for and approach to the regulation of mutual fund boards.
United States
23 Oct 2018
Medical Technologies Company Settles FCPA Charges
A medical technologies firm agreed to pay a $7.8 million penalty to settle SEC charges for violating the books and records and internal accounting controls provisions ...
United States
7 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
OIG Calls For Improved Oversight Of Reg SCI
In a final audit report, the SEC's Office of Inspector General (OIG) identified ways in which the SEC's Office of Compliance Inspections and Examinations ("OCIE") ...
United States
7 Oct 2018
FINRA Recaps September Disciplinary Actions
FINRA summarized disciplinary actions against firms and individuals from August 20 to September 19, 2018.
United States
6 Oct 2018
SEC Charges Tesla Chief Executive For Making False Public Statements
The SEC filed a Complaint against Tesla Chief Executive Officer Elon Musk for making a series of allegedly false and misleading statements on Twitter about a potential transaction to take the company private.
United States
3 Oct 2018
FINRA Proposes Removal Of TRACE Connectivity Option
FINRA proposed amendments to Rule 7730 (Trade Reporting and Compliance Engine ("TRACE")) by eliminating "Computer-to-Computer Interface" as a means of connectivity.
United States
30 Aug 2018
FINRA To Modify Trade Reporting Regime For Agency Debt Securities
FINRA proposed implementing a $5 million dissemination cap for all agency debt securities (i.e., replacing the current $1 million dissemination cap for non-investment grade debt).
United States
30 Aug 2018
SEC Reduces Duplicative Public Company Disclosure Requirements
The SEC adopted amendments to simplify or eliminate redundant, overlapping, outdated or superseded disclosure requirements.
United States
30 Aug 2018
President Trump Asks SEC To Consider Semi-Annual Reporting For Public Companies
President Trump asked the SEC to consider replacing its current quarterly reporting requirement for public companies with a semi-annual requirement.
United States
30 Aug 2018
Federal Register: SEC Adopts New Reporting Format For Operating Companies And Funds
The SEC final amendments to require the use of the Inline eXtensible Business Reporting Language ("XBRL") format for certain reports were published in the Federal Register.
United States
24 Aug 2018
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