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Mayer Brown
The Securities and Exchange Commission will hold a roundtable discussion on October 26, 2020 that will focus on Regulation Best Interest and Form CRS.
Cooley LLP
Tuesday, at the CNBC Financial Advisor Summit, SEC Chair Jay Clayton was interviewed by CNBC's Bob Pisani, touching on a variety of issues, including SPACs, proposed changes to Form 13F, ESG ratings ...
Mintz
In a scathing decision by the United States District Court for the Southern District of New York, the Court denied class certification of the Allergan securities class action ("Allergan").
Groom Law Group
On September 4, 2020, the Department of Labor published a proposed regulation related to proxy voting and the exercise of certain shareholder rights by fiduciaries for plans subject to the Employee Retirement Income Security Act of 1974, as amended.
Ropes & Gray LLP
In a recently settled SEC administrative proceeding, Andeavor LLC, an energy company acquired by Marathon Petroleum in 2018, agreed to pay a $20 million civil penalty for failing to maintain...
Mayer Brown
On 21 September 2020, Steven Maijoor, Chair at the European Securities and Markets Authority ("ESMA"), delivered a speech at City Week 2020 in London.
Cooley LLP
On Friday, the SEC announced adoption of final amendments to the auditor independence rules, largely as proposed at the end of 2019.
Cadwalader, Wickersham & Taft LLP
FINRA proposed extending a pilot program that governs the review of "clearly erroneous transactions" in exchange-listed securities.
Cadwalader, Wickersham & Taft LLP
SEC Commissioner Peirce Urges SEC to Reconsider Meaning of Terms "Facility" and "Exchange".
Cadwalader, Wickersham & Taft LLP
An issuer settled SEC charges for internal accounting controls violations that resulted in an improper management authorization of a stock buyback plan.
Cadwalader, Wickersham & Taft LLP
An SEC final rule rescinding Industry Guide 3 ("Guide 3") concerning statistical disclosures that banking entities and bank holding companies provide in their registration statements, was published in the Federal Register.
Shearman & Sterling LLP
On October 14, 2020, Judge Alison J. Nathan of the United States District Court for the Southern District of New York dismissed with prejudice a putative class action asserting claims under the...
Ropes & Gray LLP
The Securities and Exchange Commission (the "Commission") recently proposed an exemption from the broker-dealer registration requirements of Section 15(a) of the Exchange Act of 1934 ...
Mayer Brown
On October 7, 2020, the US Securities and Exchange Commission ("SEC") adopted a new rule under the Investment Company Act of 1940 (the "Investment Company Act") with respect to fund of fund arrangements.
Cadwalader, Wickersham & Taft LLP
The SEC adopted a final rule that updates its "auditor independence" rules and codifies certain staff consultations.
Cadwalader, Wickersham & Taft LLP
Deputy Assistant Attorney General Michael Murray described the DOJ's "muscular role" in the enforcement of antitrust regulation in the financial markets.
Gibson, Dunn & Crutcher
After the COVID-19 pandemic seemed to close the IPO market overnight, over the past few months IPOs have roared back to life in an incredibly active market.
Cadwalader, Wickersham & Taft LLP
FINRA requested feedback on a concept proposal setting forth how the FINRA rules might apply to security-based swaps ("SBS").
Ogletree, Deakins, Nash, Smoak & Stewart
Investors see human capital as an essential component in creating long-term shareholder value and have increasingly prioritized strong human capital practices.
Cadwalader, Wickersham & Taft LLP
The exception allows fee changes to go into effect upon filing with the SEC, without any public comment period or express SEC approval.
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