Last week, the Financial Industry Regulatory Authority entered into settlement agreements with a number of the major banking firms in response to allegations that their equity research an...
We have summarized
35 comment letters submitted in response to New York’s “BitLicense” proposal that have been made public by their authors. We have aggregated these letters, for ...
In preparation for the 2015 proxy season, companies should be aware of the updates to the policies that govern how the two influential proxy advisory firms, ISS and Glass Lewis, will be a...
In a decision that may predict the outcome of the ongoing SEC conflict minerals court case, a divided U.S. Court of Appeals for the D.C. Circuit, sitting en banc, ruled that a regulation ...
Despite pressure on US public companies to adopt certain governance practices, a review of the largest initial public offerings (in terms of deal size) show that newly public companies co...
On July 17, 2014, the New York State Department of Financial Services (NYDFS) published its proposed comprehensive regulatory scheme for virtual currency businesses, called “BitLicense....
Over the past 18 months companies have scoured their supply chains and wrestled with hard-to-interpret regulatory mandates in order to comply with the initial reporting deadline for the S...
The power and influence of proxy advisory firms in affecting the outcome of shareholder meetings have been hotly debated in recent years, with many seeking a regulatory solution. Yesterd...
The SEC’s official position last Friday, which we discussed here, reinforced the Staff’s earlier guidance, and boiled down to a requirement to comply with the conflict minerals rules ...
Today the SEC issued a stay of the conflict minerals rule – but the stay extends only to “the effective date for compliance with those portions of Rule 13p-1 and Form SD that would re...
