Searching Content indexed under Corporate and Company Law by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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Options Clearing Corporation Proposes Rule Change To Enhance "Vanilla Option Model" And "Smoothing Algorithm"
The Options Clearing Corporation ("OCC") proposed a rule change to enhance the "Vanilla Option Model" and "Smoothing Algorithm."
United States
13 Aug 2019
NASAA Advises Companies And Investors On Use Of Initial Loan Procurements
The North American Securities Administrators Association ("NASAA") advised companies utilizing blockchain technology on an "alternative"
United States
31 Jul 2019
Corporate Governance Litigation & Regulation: A Periodic Review And Predictions For The Remainder Of 2019
Since the start of 2018, state and, to a lesser extent, federal courts around the country, as well as state legislatures and Congress,
United States
6 Jun 2019
Federal Reserve Board Finalizes Transfer Of SAFE Act Authority To CFPB
The Federal Reserve Board ("FRB") finalized the process of transferring its rulemaking authority for the Secure and Fair Enforcement for Mortgage Licensing Act ...
United States
28 May 2019
SEC Names Inaugural Members Of Small Business Capital Formation Advisory Committee
The SEC named the inaugural members of the newly formed Small Business Capital Formation Advisory Committee.
United States
14 May 2019
SIFMA Urges SEC To Suspend Options Fee Proposal
In a comment letter, SIFMA called on the SEC to suspend a MIAX Emerald, LLC proposal to establish an Options Regulatory Fee.
United States
2 May 2019
SEC Adopts Rules To Encourage Publication Of Research On Investment Companies
The SEC adopted new rules and amendments intended to encourage broker-dealers to publish research reports on SEC-registered investment companies and business development companies.
United States
10 Dec 2018
IRS Proposes Restricting "Deemed Repatriations" By Controlled Foreign Corporations
The U.S. Treasury Department and the IRS proposed regulations that affect certain U.S. corporations that own, or are treated as owning, stock in foreign corporations.
United States
13 Nov 2018
SEC Division Of Investment Management Director Reviews Regulation Of Fund Boards
SEC Division of Investment Management Director Dalia Blass described the principles guiding the agency's initiatives for and approach to the regulation of mutual fund boards.
United States
23 Oct 2018
SEC Charges Tesla Chief Executive For Making False Public Statements
The SEC filed a Complaint against Tesla Chief Executive Officer Elon Musk for making a series of allegedly false and misleading statements on Twitter about a potential transaction to take the company private.
United States
3 Oct 2018
Indian Company Granted Tender Offer Relief
The SEC Division of Corporation Finance granted an exemption from Exchange Act Rule 14e-1(a) ("Unlawful Tender Offer Practices") to HCL Technologies Limited, a public limited company incorporated under the laws of India.
United States
12 Sep 2018
U.S. Firms Continue To Face Liability For Terrorist Attacks Under Antiterrorism Act
Lawsuits under the ATA are a growing area of liability for financial institutions and public companies.
United States
9 Sep 2018
FINRA Elects Three Governors
Three governors were elected to the FINRA board.
United States
9 Sep 2018
SEC Chair Summarizes Recent Efforts To Promote Capital Formation
In a speech at the Nashville 36|86 Entrepreneurship Festival, SEC Chair Jay Clayton outlined recent agency efforts to encourage capital formation for public companies and companies that are considering going public.
United States
5 Sep 2018
SEC Sets Registration Fee Rate For Fiscal Year 2019
The SEC set the fee that public companies and other issuers must pay to register their securities with the agency for FY 2019 at $121.20 per million dollars.
United States
2 Sep 2018
SEC Names Deputy Directors In Division Of Trading And Markets
The SEC named Elizabeth Baird and Christian Sabella as Deputy Directors of the Division of Trading and Markets (the "Division").
United States
3 Aug 2018
Federal Register: SEC Adopts Amendments To Expand Definition Of Smaller Reporting Company
SEC final amendments to expand the definition of "smaller reporting company" ("SRC") were published in the Federal Register.
United States
16 Jul 2018
Appropriations Bill Allows Increased Leverage For Business Development Companies
The Congressional appropriations bill signed into law on March 23, 2018 includes provisions that amend rules applicable to business development companies ("BDCs").
United States
28 Mar 2018
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