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COVID-19 Update
Rules and Regulations
SEC Adopts Modernized Marketing Rule for Investment Advisers
Industry Update
OCIE Issues Risk Alert on Observations from Examinations of I...
The FDIC has issued a final rule to formalize longstanding expectations it has had for the parent company of a new industrial loan company (ILC). The FDIC adopted the proposed rule issue...
On December 21, 2020, ISS released its updated compensation-related FAQs for 2021. For U.S. companies, this set of guidance consists of ISS’ Compensation Policies FAQ, Equity Compensat...
This memo summarizes the amendments to the Federal Reserve’s emergency powers, the Paycheck Protection Program, other support for small businesses, and certain other provisions included...
In a December 22, 2020 release, the SEC adopted amendments to create a single rule that will replace the current advertising and cash solicitation rules under the Investment Advisers Act ...
This week, the SEC proposed to amend Rule 144 to revise the holding period determination for securities acquired upon conversion or exchange of certain types of convertible securities. Th...
On December 22, the Securities and Exchange Commission approved for the second time the NYSE’s proposed rule change that would permit companies to raise capital in a direct listing by s...
On December 15, 2020, the Office of the Comptroller of the Currency, the Federal Reserve Board, and the Federal Deposit Insurance Corporation issued a notice of proposed rulemaking that w...
The National Defense Authorization Act approved by Congress last week would extend to 10 years the time for the SEC to file disgorgement claims for scienter-based violations. It also wou...
After almost a decade of attempting to issue similar rules, on December 16 the SEC adopted amendments that would require resource extraction companies to disclose payments made to foreign...