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Results: 1-10 of 1,988

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

Spoofing back in the news first criminal indictment for spoofing; CFTC settlement lays out telltale signs of spoofing

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

Last week the government handed down its first criminal indictment for allegedly engaging in "spoofing" and the Commodity Futures Trading Commission

Major banks agree to temporarily stay swap termination under ISDA protocol

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 12 2014

The International Swaps and Derivatives Association, Inc., or ISDA, announced that 18 major global banks, referred to as G-18, have agreed to sign a

Health & Human Services, Office of Inspector General, proposes new fraud and abuse rules

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 9 2014

The U.S. Department of Health & Human Services, Office of Inspector General (OIG) published 79 Fed. Reg. 59717 on October 3, 2014. This proposed rule

It’s going to be harder to sell unregistered securities

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 9 2014

The SEC has issued a Risk Alert and FAQs to remind broker-dealers of their obligations when they sell unregistered securities on behalf of clients

Minnesota Supreme Court finds AAA rules give arbitrator power to issue sanctions over $600 million

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 8 2014

The Minnesota Supreme Court today unanimously confirmed an arbitration award of over $600 million in punitive sanctions. Seagate Technology, LLC v