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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... 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... 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... 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... 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... SEC Proposes Rule That Would Ban Bad Actors From Exempt Offerings 06 June 2011 Legal News Alert: Transactional & Securities The Dodd-Frank Wall Street Reform and Consumer Protection Act, enacted by Congress in July 2010, includes the requirement that the SEC implement a rule to ban persons... SEC Releases Proposed Rules Regarding Compensation Committees, Compensation Consultants, and Other Advisers 06 April 2011 Legal News Alert: Transactional & Securities On March 30, 2011, the SEC proposed rules1 regarding three subjects: National securities exchanges, including the NASDAQ Stock Market and the New York Stock... Fifth Analyst Call 23 February 2011 NDI News A group of institutional investors recently publicly proposed that U.S. public companies should host “a dedicated conference call” for institutional investors focusing... 12next Related 1 2 3
SEC Final Rule on Individual Accredited Investor "Net Worth" Criteria 27 December 2011 Legal News Alert: Transactional & Securities On December 21, 2011, the SEC finalized its amendments to the individual accredited investor net worth standards under Regulation D of the Securities Act of 1933....
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...
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...
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...
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...
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...
SEC Proposes Rule That Would Ban Bad Actors From Exempt Offerings 06 June 2011 Legal News Alert: Transactional & Securities The Dodd-Frank Wall Street Reform and Consumer Protection Act, enacted by Congress in July 2010, includes the requirement that the SEC implement a rule to ban persons...
SEC Releases Proposed Rules Regarding Compensation Committees, Compensation Consultants, and Other Advisers 06 April 2011 Legal News Alert: Transactional & Securities On March 30, 2011, the SEC proposed rules1 regarding three subjects: National securities exchanges, including the NASDAQ Stock Market and the New York Stock...
Fifth Analyst Call 23 February 2011 NDI News A group of institutional investors recently publicly proposed that U.S. public companies should host “a dedicated conference call” for institutional investors focusing...