Approximately ten years ago, the US regulators, including FINRA, began to crack down on a variety of research-related practices, including a perception that positive research was being of...
The SEC announced today that it temporarily suspended the operation of its EDGAR filing system as a precautionary measure due to the earthquake in the Washington, D.C. area this afternoon...
The D.C. Circuit Court of Appeals today vacated Exchange Act Rule 14a-11, which would have required U.S. public companies to include shareholder nominees for election as directors in thei...
Earlier today, in a divided 3-2 vote, the SEC adopted final rules to implement the whistleblower provisions of the Dodd-Frank Act. Overall, the final rules appear more permissive and defe...
In response to requirements in the Dodd-Frank Wall Street Reform and Consumer Protection Act, the SEC issued proposed rules today that would revise the Form S-3 and Form F-3 transaction e...
The SEC has proposed rules that would implement the requirements of Section 1503 of the Dodd-Frank Wall Street Reform and Consumer Act. This Section is already in effect and calls for ope...
The SEC has proposed rules that implement Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Act which requires companies that file Exchange Act reports, whether U.S. companie...
Among the many provisions contained in The Dodd-Frank Wall Street Reform and Consumer Protection Act (signed into law by the President today), is a provision which nullifies Rule 436(g) u...
On June 24, 2010, the Supreme Court issued an important decision narrowing the reach of the key antifraud provisions of the Securities Exchange Act of 1934 (“Exchange Act”) with respe...
