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Say on Pay Report From the 2011 Proxy Season 17 October 2011 Legal News Alert: Transactional & Securities When the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) became law in 2010, it included a requirement that most publicly traded companies...
A Compilation of Enforcement and Non-Enforcement Actions 12 July 2011 Legal News: Investment Management Update Non-Enforcement Matters New Investment Adviser Rules On June 22, 2011, the SEC adopted certain rules and amendments that implement various federal securities...
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...
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...
A Compilation of Enforcement and Non-Enforcement Actions 28 November 2011 Legal News: Investment Management Update Non-Enforcement Matters SEC Adopts Final Rule on Private Fund Reporting Requirements On October 26, 2011, the SEC approved a final rule that requires SEC...
A Compilation of Enforcement and Non-Enforcement Actions 14 February 2011 Legal News: Investment Management Update Non-Enforcement Matters SEC Study Recommends a Uniform Fiduciary Standard for Providing Investment Advisory Services To no one’s surprise, the SEC — within a...
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...
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...
CFTC Whistleblower Rules Finalized 25 August 2011 Legal News: Securities Enforcement & Litigation The CFTC was given expanded powers to financially reward whistleblowers through the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Pursuant...
Dodd-Frank Would Provide Incentives for Whistleblowers 25 January 2011 BizTimes Foley Partner Bryan House authored an article that appeared in BizTimes on January 25, 2011 titled “Dodd-Frank would provide incentives for whistleblowers.” House...