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When a Nonbinding Vote Binds: The Perils of Ignoring a "No" Vote on Executive Compensation 25 July 2011 Legal News: Securities Enforcement & Litigation Among its myriad provisions, the Dodd-Frank Wall Street Reform and Consumer Protection Act created Section 14A of the Securities Exchange Act of 1934. This new section... CFTC Order and Staff No-Action Letter Regarding Dodd-Frank Effectiveness for Swap Regulation 18 July 2011 Legal News: Financial Reform On July 14, 2011, the Commodity Futures Trading Commission (“CFTC” or “Commission”) issued a Final Order on Effective Date for Swap Regulation (“CFTC Order”) that... Decision Points of Internal Investigations 01 July 2011 The Review of Banking & Financial Services Foley Partner Barry Mandel and Associate David Aveni authored an article that appeared in the July 2011 issue of The Review of Banking & Financial Services titled... Inside SEC's New Whistleblower Program 06 June 2011 Securities Law360 Foley Partner Kenneth Winer and Associate Bryan House authored an article that appeared in Securities Law360 on June 6, 2011 titled "Inside SEC's New Whistleblower... A Compilation of Enforcement and Non-Enforcement Actions 01 June 2011 Legal News: Investment Management Update Non-Enforcement Matters Helpful Guidance for Investment Advisers on California Lobbyist Law A number of questions have arisen around the implementation of... SEC Issues Final Dodd-Frank Whistleblower Rules 26 May 2011 Legal News Alert: Securities Enforcement & Litigation On May 25, 2011, the SEC commissioners announced final rule changes to the Securities Exchange Act of 1934 (Exchange Act), which implement the whistleblower program... A Compilation of Enforcement and Non-Enforcement Actions 29 April 2011 Legal News: Investment Management Update Non-Enforcement Matters Update on Dodd-Frank Investment Adviser Registration Requirements Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection... Of Burning Bridges and Liquidating Trusts: Enhanced Liability Risks for VCs and VC Funds Extending Bridge Loans 07 April 2011 Legal News Alert: Private Equity & Venture Capital A federal appeals court recently handed down a chilling reminder of the risks inherent in failing to address conflicts of interest and process issues in distressed... A Compilation of Enforcement and Non-Enforcement Actions 28 March 2011 Legal News: Investment Management Update Non-Enforcement Matters SEC Provides Insight in Choosing Who to Examine Senior SEC officials recently outlined the agency’s criteria used when it selects registered... previous34567next Related 1 2 3
A Compilation of Enforcement and Non-Enforcement Actions 17 August 2011 Legal News: Investment Management Update Non-Enforcement Matters Securities Exchange Act Issues for ETFs Since shares of exchange-traded funds (ETF Shares) are continuously offered and also are...
When a Nonbinding Vote Binds: The Perils of Ignoring a "No" Vote on Executive Compensation 25 July 2011 Legal News: Securities Enforcement & Litigation Among its myriad provisions, the Dodd-Frank Wall Street Reform and Consumer Protection Act created Section 14A of the Securities Exchange Act of 1934. This new section...
CFTC Order and Staff No-Action Letter Regarding Dodd-Frank Effectiveness for Swap Regulation 18 July 2011 Legal News: Financial Reform On July 14, 2011, the Commodity Futures Trading Commission (“CFTC” or “Commission”) issued a Final Order on Effective Date for Swap Regulation (“CFTC Order”) that...
Decision Points of Internal Investigations 01 July 2011 The Review of Banking & Financial Services Foley Partner Barry Mandel and Associate David Aveni authored an article that appeared in the July 2011 issue of The Review of Banking & Financial Services titled...
Inside SEC's New Whistleblower Program 06 June 2011 Securities Law360 Foley Partner Kenneth Winer and Associate Bryan House authored an article that appeared in Securities Law360 on June 6, 2011 titled "Inside SEC's New Whistleblower...
A Compilation of Enforcement and Non-Enforcement Actions 01 June 2011 Legal News: Investment Management Update Non-Enforcement Matters Helpful Guidance for Investment Advisers on California Lobbyist Law A number of questions have arisen around the implementation of...
SEC Issues Final Dodd-Frank Whistleblower Rules 26 May 2011 Legal News Alert: Securities Enforcement & Litigation On May 25, 2011, the SEC commissioners announced final rule changes to the Securities Exchange Act of 1934 (Exchange Act), which implement the whistleblower program...
A Compilation of Enforcement and Non-Enforcement Actions 29 April 2011 Legal News: Investment Management Update Non-Enforcement Matters Update on Dodd-Frank Investment Adviser Registration Requirements Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection...
Of Burning Bridges and Liquidating Trusts: Enhanced Liability Risks for VCs and VC Funds Extending Bridge Loans 07 April 2011 Legal News Alert: Private Equity & Venture Capital A federal appeals court recently handed down a chilling reminder of the risks inherent in failing to address conflicts of interest and process issues in distressed...
A Compilation of Enforcement and Non-Enforcement Actions 28 March 2011 Legal News: Investment Management Update Non-Enforcement Matters SEC Provides Insight in Choosing Who to Examine Senior SEC officials recently outlined the agency’s criteria used when it selects registered...