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Recent Developments in Executive Compensation
  • Schulte Roth & Zabel LLP
  • USA
  • August 19 2016

There have been several relatively minor, yet notable, developments affecting executive compensation this year. This Alert provides an overview of


Hart-Scott-Rodino Update: Investor Fined for Violation Even Without a Stock ‘Purchase’
  • Schulte Roth & Zabel LLP
  • USA
  • August 12 2016

On Aug. 10, 2016, Caledonia Investments plc ("Caledonia") agreed to settle Federal Trade Commission ("FTC") charges that Caledonia violated the


Activism and Passivity: HSR Act and Section 13(d) Developments for Investors
  • Schulte Roth & Zabel LLP
  • USA
  • July 28 2016

On July 12, 2016, the U.S. Department of Justice (the "DOJ") announced that investment firm ValueAct had entered into a consent decree in which it


HSR Act Update: 150-Percent Increase in Maximum Civil Penalties for Violations; Yearly Increases to Follow
  • Schulte Roth & Zabel LLP
  • USA
  • July 7 2016

On June 29, 2016, the Federal Trade Commission ("FTC") announced that the maximum civil penalty that can be assessed for violations of the premerger


Highlights of FinCEN’s Long-Awaited Customer Due Diligence Final Rule
  • Schulte Roth & Zabel LLP
  • USA
  • May 11 2016

On May 11, 2016, the U.S. Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) published its long-awaited Final Rule regarding the


The New FINRA Registration Requirement for Algorithmic Traders: Implications for Broker-Dealers and Investment Advisers
  • Schulte Roth & Zabel LLP
  • USA
  • April 26 2016

On April 7, 2016, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s proposed amendments to NASD Rule 1032


Second Circuit Holds Safe Harbor Defense Bars Creditors’ State Law Fraudulent Transfer Claims
  • Schulte Roth & Zabel LLP
  • USA
  • March 29 2016

Creditors of a Chapter 11 debtor asserting “state law, constructive fraudulent transfer claims are preempted by Bankruptcy Code Section 546(e),”


SEC Proposes Rule Governing the Use of Derivatives and Short Sales by Registered Investment Companies and Business Development Companies
  • Schulte Roth & Zabel LLP
  • USA
  • January 15 2016

On Dec. 11, 2015, the Securities and Exchange Commission (the “SEC”) issued a release proposing the adoption of new Rule 18f-4 under the Investment


The CFTC brings (and settles) its first insider-trading case: implications for all private fund managers
  • Schulte Roth & Zabel LLP
  • USA
  • December 15 2015

The U.S. Commodity Futures Trading Commission recently settled its first-ever insider-trading case, relying on new powers granted to it under the


FTC publicizes change in policy regarding valuation of publicly traded securities under the Hart-Scott-Rodino Act
  • Schulte Roth & Zabel LLP
  • USA
  • December 9 2015

The Premerger Notification Office ("PNO") of the Federal Trade Commission ("FTC") recently published a blog post regarding a policy change relating