Mondaq USA: Corporate/Commercial Law
Duane Morris LLP
This week reports surfaced that a major shift in the SEC enforcement division had taken place – behind the scenes. The timing is quite interesting as the agency's annual seminar and SEC Alumni dinner will occur at the end of the month.
Shearman & Sterling LLP
Acting SEC Chairman Michael S. Piwowar opens 45 day window for public to comment on whether relief is needed.
Cadwalader, Wickersham & Taft LLP
The SEC Advisory Committee on Small and Emerging Companies will meet to examine secondary market liquidity for Regulation A companies and unlisted reporting companies.
Shearman & Sterling LLP
On 27 December 2016, the federal appeals court in Denver, Colorado held that the administrative law judges who preside over enforcement proceedings brought by the SEC are "Officers of the United States"...
Kramer Levin Naftalis & Frankel LLP
Marc Wyatt, director of the SEC's Office of Compliance Inspections and Examinations, will leave the agency this month to return to the private sector.
Morrison & Foerster LLP
The SEC's Advisory Committee on Small and Emerging Companies announced its agenda for its upcoming February 15 meeting.
Shearman & Sterling LLP
January 18, 2017, the SEC announced that General Counsel Anne K. Small will leave the agency later this month.
Cadwalader, Wickersham & Taft LLP
Senator Elizabeth Warren (D-MA) wrote to Acting Secretary of Labor Edward Hughes to urge him not to delay the April 10, 2017 effective date of the DOL's Fiduciary Rule.
Davies Ward Phillips & Vineberg
The SEC had a busy rulemaking year in 2016. As part of its Disclosure Effectiveness Initiative launched at the end of 2013, the SEC continued to propose and adopt rules...
Morrison & Foerster LLP
At the 35th Annual Federal Securities Institute, a representative of the Securities and Exchange Commission shared some market data.
Some interesting links we found across the web this week:
Cadwalader, Wickersham & Taft LLP
President Trump signed a joint resolution (H.J. Res. 41) to nullify an SEC final rule regarding the disclosure of payments by resource extraction issuers.
Ogletree, Deakins, Nash, Smoak & Stewart
The "additional insured" provision is one of the most critical provisions in a contract, yet is usually an afterthought. Contract negotiations over scope, schedule, and budget can...
Shearman & Sterling LLP
On 4 January 2017, in In re: Volkswagen "Clean Diesel" Marketing, Sales Practices, and Products Liability Litigation, a federal district court in California held that the US Supreme Court's landmark decision...
Shearman & Sterling LLP
On January 19, 2017, the SEC announced the establishment of a comprehensive arrangement with the Hong Kong Securities and Futures Commission (SFC).
Anderson Kill
Cyber risks should have directors and officers thinking beyond cyber-specific policies that cover their companies.
Anderson Kill
Imagine you are in-house counsel at a company that is about to sign one of the largest transactions of the year, or maybe even of the past few years.
Andrews Kurth LLP
As public companies are well aware, the staff of the SEC's Division of Corporation Finance (Staff) has become increasingly focused on disclosure of non-GAAP financial measures...
On February 2, 2017, the New York Appellate Division, First Department, issued a decision in Gordon v. Verizon Communications, Inc., No. 653084/13, 2017 WL 442871 (1st Dep't 2017)...
Ropes & Gray LLP
Colleen Conry, Ropes & Gray government enforcement partner, provides insights on what to expect with enforcement activity under the Trump administration and a Jeff Sessions led Department of Justice.
Most Popular Recent Articles
Cadwalader, Wickersham & Taft LLP
In a case of "cyber meets securities fraud," the United States Attorney's Office for the Southern District of New York ("SDNY") recently indicted three foreign nationals on charges of insider trading...
Morrison & Foerster LLP
Just over a year after the approval of the first ever Deferred Prosecution Agreement (DPA), Southwark Crown Court on 17 January 2017 approved a DPA proposed by the Serious Fraud Office (SFO) with UK leading engineering group, Rolls-Royce.
Morrison & Foerster LLP
On January 4, 2017, the SEC approved the "NSCC" proposed rule change to conform to the SEC's proposed Rule 15c6–1(a) amendment and accommodate a second business day after the trade date ("T+2")...
The Law Offices of Daniel J. Hurson, LLC
Of late we have been saturated with reports of discovery of fraud and corruption of one kind of another in all parts of the world, fueled by greed, easy money, lax enforcement, and modern technology run amok—
Morrison & Foerster LLP
At the beginning of each new year, we find ourselves engaged in discussions of the evolving securities regulatory landscape and the changes that we anticipate may occur.
Morrison & Foerster LLP
On January 19, 2017, the U.S. Federal Trade Commission (FTC), the agency charged with administering the Hart-Scott-Rodino Antitrust Improvements Act of 1976 (the "HSR Act....
Caplin & Drysdale
On January 31, 2017, the Internal Revenue Service launched its first wave of compliance "campaigns." A campaign is an issue-based compliance process centering on focused examinations, staffed with IRS experts on the targeted subject matter.
Jones Day
On December 2, 2016, a Delaware Chancery Court held that the courts had no role in considering a purchase price adjustment dispute based on "plain language of the purchase agreement" . . .
Fox Rothschild LLP
In Gessele v. Jack in the Box, Inc., the franchise world got a win in the joint employer battle when the United States District Court for Oregon held that Jack in the Box, Inc. was not the joint employer of certain employees of its franchisees as a matter of law using the economic reality test in granting summary judgment in JIB's favor.
Morrison & Foerster LLP
On January 17, Chair White delivered a speech at The Economic Club of New York, which was titled "The SEC after the Financial Crisis: Protecting Investors, Preserving Markets."
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