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:
- 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
In this issue:
- Bylaw of Delaware Corporation Providing for Exclusive Forum in North Carolina Upheld
- FINRA Board to Consider Rule Proposals Regarding Private Trading Platforms
- CBOE and C2 in...more
9/15/2014
/ AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Banks ,
Bitcoin ,
CBOE ,
CFTC ,
Commodity Pool ,
Compliance ,
Consumer Financial Protection Bureau (CFPB) ,
CPO ,
Cross-Border ,
Exclusive Jurisdiction ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Forum ,
ISDA ,
JOBS Act ,
Jurisdiction ,
Over The Counter Derivatives (OTC) ,
Regulation M ,
Regulation Z ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Swap Dealers ,
Swaps ,
UK
In this issue:
- SEC Approves FINRA Rule Limiting Expungement
- CFTC Issues No-Action Relief from Certain Ownership and Control Reporting Requirements
- CFTC Releases Rule Enforcement Review of ICE...more
In this issue:
- Delaware Court of Chancery Rules That a Major Debt Holder and 48 Percent Stockholder Is a Controlling Stockholder and Owes Fiduciary Duties to Minority Stockholders
- Delaware Court of Chancery...more
6/23/2014
/ Compliance ,
Controlling Stockholders ,
Cross-Border ,
Debt ,
Debtors ,
Disclosure Requirements ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Fraud ,
Futures Commission Merchants (FCMs) ,
Investment Adviser ,
Minority Shareholders ,
Real Estate Market ,
Securities and Exchange Commission (SEC) ,
Shareholder Litigation ,
Shareholders ,
Swaps
In this issue:
- Delaware Supreme Court Upholds Fee-Shifting Bylaw
- FINRA Proposes Changes to FINRA Rules 7410 and 2121
- CFTC Staff Announces Streamlined No-Action Relief Process for Certain...more
In this issue:
- SEC Issues New FAQs on Conflict Minerals
- SEC Issues Frequently Asked Questions Regarding the Amendments to the Broker-Dealer Reporting Rule
- FINRA Requests Comment on Rules Regarding...more