In This Issue:
- SEC Staff Releases Analysis Related to Pay Ratio Disclosure Rules
- States Challenge Blue Sky Preemption Under Regulation A+
- FINRA Proposes Revised BrokerCheck Hyperlink Rule
-...more
6/8/2015
/ Blue Sky Laws ,
BrokerCheck ,
Capital Markets ,
CFTC ,
Clawbacks ,
Disclosure Requirements ,
EU ,
European Commission ,
Executive Compensation ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Hedge Funds ,
Investment Adviser ,
National Futures Association ,
NFA ,
Preemption ,
Public Comment ,
Regulation A ,
Securities and Exchange Commission (SEC) ,
Total Shareholder Return (TSR)
In This Issue:
- NYSE Amends "Late Filer Rule"
- CFTC Responds to District Court's Remand Order on Certain Cross-Border Swaps Rules
- Delaware Chancery Court Addresses Proper Purpose for Inspection...more
3/16/2015
/ CFTC ,
Cross-Border Transactions ,
Enforcement ,
Enforcement Actions ,
EU ,
European Securities and Markets Authority (ESMA) ,
Inspection Rights ,
Late Filer Rule ,
MiFID II ,
NYSE ,
Securities and Exchange Commission (SEC) ,
Swaps ,
Whistleblowers
In this issue:
- Recent Developments Relating to Rights to Exclude Shareholder Proposals from Proxy Statements
- SEC Approves MSRB Best Execution Rule
- SEC Sanctions Operator of Unregistered Virtual...more
12/15/2014
/ Banks ,
Basel Committee on Banking Supervision (BCBS) ,
Bitcoin ,
Currency Exchange ,
Cybersecurity ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Insider Trading ,
Investors ,
MiFID ,
MSRB ,
Proxy Season ,
Proxy Statements ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals ,
Shareholders ,
Virtual Currency
In this issue:
- ISS Releases 2015 Draft Voting Policy Changes for Comment
- SEC Investor Advisory Committee Releases Recommendations on Changes to Accredited Investor Definition
- FINRA Proposes to...more