Our lawyers produce a wealth of substantive, timely and practical guidance and resource materials. Subscribe to receive updates based on your interests.
Rules and Regulations
SEC Staff Grants No-Action Relief to the Independent Directors Council Under Rules 10f-3, 17a-7 and 17e-1 Under the Investment Company Act of 1940
Industry Update
...
The Business Roundtable (BRT) and the Council of Institutional Investors (CII) have found common ground in supporting the revised Commonsense Principles 2.0, updated from 2016 and led onc...
Industry Update
Director of Division of Investment Management Testifies About Division Oversight
Co-Director of SEC Enforcement Steven Peikin Gives Remarks on Remedies and Relief in SEC ...
Two key, but limited, policy changes for U.S. companies have been proposed by ISS. The open comment period will run through 5:00 p.m. ET on November 1.
Board Gender Diversity. Beginning ...
On Tuesday, the Securities and Exchange Commission issued a Section 21(a) report of investigation emphasizing the importance of assessing the likelihood of cyberattacks when designing int...
The Treasury Department has issued temporary regulations establishing a pilot program to implement two provisions of the Foreign Investment Risk Review Modernization Act of 2018 that did ...
Retail shareholders own about 30% of public companies, a fairly consistent level over the past five years, but only about 28% of those shares are voted, according to the latest issue of P...
On October 11, 2018, the Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) issued a lengthy “Advisory on the Iranian Regime’s Illicit and Malign Activities a...
After a several-year pause, the CFTC is again re-assessing its approach to cross-border regulation of swap activities. The CFTC’s current approach is embodied in various rulemakings, gu...
On October 11, 2018, the SEC reopened the comment period and requested additional comments for previously proposed rules relating to capital, margin, and segregation requirements for secu...