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In this issue, we discuss, among other things, a risk alert issued by the SEC’s Division of Examinations on compliance examinations related to identity theft prevention under Regulation...
The proposed rule is the second step in creating a national registry of beneficial ownership information and would govern access to and the protection of information in the registry.
The New York Department of Financial Services (DFS) has released guidance that expands the scope of virtual currency activity for which New York banking organizations need prior approval.
On the heels of a similar rule change for Nasdaq, the SEC approved rule changes relaxing price range limitations for primary direct listings on the NYSE. The modified rule allows the open...
In a significant and welcome change from the SEC’s proposal, the agency will not mandate cooling-off periods for 10b5-1 plans used for corporate stock buybacks. For plan use by director...
Today the Federal Reserve Board (the Board) adopted its final rule implementing the LIBOR Act. The final rule establishes SOFR-based Board selected benchmark replacements for so called ?...
Our 2022 IPO corporate governance survey reviews governance structures at the time of the IPO for the largest U.S.-listed IPOs of “controlled” and non-“controlled” companies betwe...
The SEC approved rule changes relaxing price range limitations for primary direct listings on Nasdaq. Prior to this change, the rules required that the opening auction price be within the...
While some critics question the value of the metaverse and digital assets, including non-fungible tokens, or NFTs, the recent rise of consumer and market interest in these asset classes h...