We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 1,993

Providing audited financial statements late leads to charges of custody rule violations

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 29 2014

The SEC announced charges against an investment advisory firm and three of its top officials for violating the "custody rule" that requires firms to

IRS announces 2015 benefit plan limits

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 24 2014

The Internal Revenue Service has released the 2015 cost of living adjustments affecting dollar limits on benefits and contributions under qualified

Regulators approve securitization risk retention rule

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 22 2014

Six federal agencies approved a final rule requiring sponsors of securitization transactions to retain risk in those transactions. The final rule

“Harmonizing” contract language leads two circuit courts to deny arbitration

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 22 2014

Two parties recently convinced Federal Circuit courts that the language of their arbitration agreements was not sufficient to compel arbitration of

District Court reins in separate classification of claims

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 21 2014

Secured creditors often oppose plans where the only accepting class appears to be one created by the debtor through separate classification of claims

ISS proposes new methodology for evaluating equity plan proposals

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 20 2014

A key component to evaluating whether to place an equity plan proposal in a proxy is whether or not ISS will support the plan. Accoding to ISS, while

ISS considering changing course on independent chair shareholder proposals

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 16 2014

ISS is requesting feedback on a change to its voting policy on independent chair shareholder proposals. ISS' current policy is to generally recommend

FINRA reminds anti-whistleblower provisions are not permitted in settlement agreements

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 15 2014

FINRA has published a regulatory notice where it reminds firms that it is a violation of FINRA Rule 2010 (Standards of Commercial Honor and

Second federal circuit court refuses to enforce arbitration by South Dakota Tribe

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 15 2014

Using a different analysis, but reaching the same result as a recent decision from the Seventh Circuit, the Eleventh Circuit agreed that a defendant

CFPB considering issuing no-action letters

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 13 2014

The CFPB has issued a proposed policy where it would issue no-action letters in limited circumstances. The proposed policy is designed for new