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A speech by the Director of Enforcement and several recent insider trading cases signal that the SEC will seek increased penalties in some cases in response to the Supreme Court’s disgo...
Rules and Regulations
SEC Expands Access to Private Offerings
Industry Update
OCIE Publishes Risk Alert on Cybersecurity: Safeguarding Client Accounts Against Credential Compromise
Li...
Rules and Regulations
SEC Expands Access to Private Offerings
Industry Update
OCIE Publishes Risk Alert on Cybersecurity: Safeguarding Client Accounts Against Credential Compromise
Li...
Our 2020 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...
On September 21, 2020, the Federal Trade Commission published a Notice of Proposed Rulemaking pertaining to pre-merger notification rules under the Hart-Scott-Rodino Act that was joined b...
On September 23, 2020, the SEC adopted amendments to the shareholder proposal rule. Rule 14a-8 allows a shareholder that meets certain requirements to use a company’s proxy statement to...
In a game-changing development for the future viability of digital asset securities trading, staff of the Division of Trading and Markets of the SEC issued a No-Action Letter to FINRA on ...
On September 9, 2020, the Climate-Related Market Risk Subcommittee of the U.S. Commodity Futures Trading Commission published a report, Managing Climate Risk in the U.S. Financial System,...
The OCC has issued an interpretive letter confirming that national banks may take deposits that serve as reserves for fiat currency-pegged stablecoins. The letter continues the series of ...
The Committee on Foreign Investment in the United States (“CFIUS”) recently promulgated final regulations that modify the scope of the mandatory declaration rules for transactions inv...