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Mayer Brown
This past summer's string of cyber enforcement actions signals that cybersecurity has become a top priority for the US Securities and Exchange Commission (SEC).
Cadwalader, Wickersham & Taft LLP
The SEC Division of Corporation Finance granted no-action relief from SEA Rule 14e-5 ("Prohibiting Purchases Outside of a Tender Offer") requirements to an exchange-traded fund ("ETF").
Cadwalader, Wickersham & Taft LLP
The MSRB requested comment on draft compliance resources to assist regulated entities in their supervision over new issue pricing of municipal securities.
Cadwalader, Wickersham & Taft LLP
SEC Chair Gary Gensler directed staff to study the risks of complex exchange-traded products ("ETPs") and recommend potential rulemakings to address such risks.
Cooley LLP
Who could resist an article with this title—Are Narcissistic CEOs All That Bad?—from the Rock Center for Corporate Governance at Stanford University?...
Archer & Greiner P.C.
The Pennsylvania Decennial Report is due by December 31, 2021. The report notifies the Commonwealth of Pennsylvania that the name of the entity or a registered insignia or mark of the entity...
Allen Matkins Leck Gamble Mallory & Natsis LLP
Last week, the Securities and Exchange Commission announced that it was reopening the comment period on proposed rules for listing standards for the recovery of erroneously awarded compensation.
Holland & Knight
The U.S. Court of Appeals for the Fifth Circuit on Oct. 12, 2021, became the first federal appellate court to decide whether a disgorgement award entered against defendants in an...
Mayer Brown
On October 14, 2021, the US Securities and Exchange Commission (SEC) issued a release reopening the comment period (Reopening Release) on the clawback listing standard rule that it proposed in 2015 (2015 Proposal).
Morrison & Foerster LLP
In this episode of MoFo Perspectives, Jordan Eth, co-chair of the Securities Litigation, Enforcement, and White Collar Defense Group...
Allen Matkins Leck Gamble Mallory & Natsis LLP
As noted in prior posts, the Secretary of State has filed a motion to dismiss a federal court challenge to California's director quota laws (SB 826 and AB 979).
Mayer Brown
The Securities and Exchange Commission (SEC) established its Cyber Unit in 2017 to combat a variety of cyber-related misconduct, including market manipulation...
Cooley LLP
A group of 587 institutional investors managing over $46 trillion in assets have signed a new statement calling on governments to undertake five priority actions to accelerate climate investment before COP26,...
Katten Muchin Rosenman LLP
Stable Road And Momentus Close Business Combination. On August 11, Stable Road Acquisition Corp., a special purpose acquisition company (SPAC), announced that its shareholders...
Katten Muchin Rosenman LLP
On August 19, hedge fund magnate Bill Ackman released a letter to shareholders announcing plans to potentially unwind the SPAC he launched last year, Pershing Square Tontine Holdings, Ltd. (Tontine)...
Willkie Farr & Gallagher LLP
Nasdaq has new rules to encourage companies to increase the diversity of their boards of directors. Willkie Farr & Gallagher LLP's Jeffrey S. Hochman, William J. Stellmach, and Todd G. Cosenza...
Willkie Farr & Gallagher LLP
The Staff of the Securities and Exchange Commission's (SEC) Division of Examinations (Division) published a risk alert on April 9, 2021,1 highlighting observations of the Division Staff (Staff)...
Willkie Farr & Gallagher LLP
The Securities and Exchange Commission recently approved Nasdaq's proposed rules regarding board diversity. Nasdaq's rules, initially proposed in December 2020, take a "comply or explain" approach...
Cooley LLP
It's time to dig back into your mental archives for 2015. That's when the SEC, by a vote of three to two, initially proposed rules to implement Section 954 of Dodd-Frank, the clawback provision.
Allen Matkins Leck Gamble Mallory & Natsis LLP
As noted in yesterday's post, Secretary of State Shirley N. Weber is asking U.S. District Court Judge R. Gary Klausner to dismiss a challenge to California's board quota statutes.
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