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Mayer Brown
Hosted by International Financing Review (IFR), the 2021 US ECM Roundtable brings together a panel of senior industry professionals to evaluate the current state of play within the market.
Mayer Brown
Mayer Brown partners Matt Kluchenek and Glen Kopp continue their discussions related to spoofing during this week's episode, focusing on the Securities and Exchange Commission's (SEC) enforcement activities.
Shearman & Sterling LLP
On October 19, 2021, Chief Judge Richard Seeborg of the United States District Court for the Northern District of California narrowed the claims in a putative securities class action asserting claims...
Shearman & Sterling LLP
On October 18, 2021, the United States Court of Appeals for the Eighth Circuit affirmed a decision of the United States District Court for the Southern District of Iowa dismissing a putative securities class action..
Winston & Strawn LLP
We are pleased to provide you with our 2022 SEC Filing Deadline Calendar and Financial Statement Staleness Calendars.
Cadwalader, Wickersham & Taft LLP
Treasury stated that the report was issued in response to Executive Order 14030.
Kramer Levin Naftalis & Frankel LLP
In a recent speech at the Practising Law Institute's annual SEC Speaks conference, Gurbir Grewal, the new director of the Division of Enforcement for the Securities and Exchange Commission...
Allen Matkins Leck Gamble Mallory & Natsis LLP
Earlier this month, 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.
Cooley LLP
For years, many companies and business lobbies, such as the National Association of Manufacturers, repeatedly raised concerns about proxy advisory firms' concentrated power and significant influence over corporate elections ...
Cadwalader, Wickersham & Taft LLP
A FINRA proposal to extend a pilot program that governs the review of "clearly erroneous transactions" in exchange-listed securities under FINRA Rule 11892 was published in the Federal Register.
Cadwalader, Wickersham & Taft LLP
The SEC's reopened comment period for a 2015 proposal that would establish listing standards for clawback policies of erroneously awarded compensation was published in the Federal Register.
Cadwalader, Wickersham & Taft LLP
Ms. Lee also argued for a carbon tax that would incentivize market forces "to shift capital today to get us where we need to be tomorrow."
Cadwalader, Wickersham & Taft LLP
DOJ urges greater cooperation from private companies victimized by cyber attacks.
Mintz
On October 20th, SEC Commissioner Lee delivered a speech focused on the regulations concerning climate disclosures that the SEC is expected to issue soon.
Akin Gump Strauss Hauer & Feld LLP
On October 20, 2021, during a webcast hosted by Principles for Responsible Investment and the London Stock Exchange Group (LSEG), Allison Herren Lee, Commissioner at the U.S. Securities...
Cooley LLP
With the new leadership at the Securities and Exchange Commission, industry commentators expect the Division of Enforcement to be more aggressive in several arenas, including public company disclosure...
Cadwalader, Wickersham & Taft LLP
SEC Commissioner Roisman offers recommendations to improve order handling disclosure. Banking regulators set expectations for managing LIBOR transition.
Cadwalader, Wickersham & Taft LLP
SEC Commissioner Elad L. Roisman reviewed the existing SEC regulatory frameworks for the handling of retail orders - including payment for order flow, best execution, execution quality measurements and public price discovery -
Fenwick & West LLP
On October 15, 2021, the U.S. Department of the Treasury's Office of Foreign Assets Control issued tailored sanctions compliance guidance for those operating in the virtual currency industry, including technology companies, ...
Bryan Cave Leighton Paisner LLP
Garcia Case Highlights Necessity of Knowing Your Customer and Listening to Internal Fraud Watchdogs.
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