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SEC proposes amendments to expand the reach of the fund “Names Rule,” with a specific focus on ESG

USA - June 3 2022 On May 25, 2022, the US Securities and Exchange Commission (the SEC) proposed amendments (the Proposal) to Rule 35d-1 (the Rule) under the Investment…

Krisztina Nadasdy, Tuong-anh T. Pham

Diversity boost in the boardroom: SEC approves Nasdaq’s new rules to spark increased board diversity for listed companies

USA - August 11 2021 On August 6, 2021, the Securities and Exchange Commission (SEC) approved The Nasdaq Stock Market LLC’s (Nasdaq) Board Diversity Rule, which is…

Dwaune L. Dupree, Steven B. Boehm, Kristin Hespos Burns, Jake C. DuCharme, Stephani M. Hildebrandt, Cynthia M. Krus, Anne G. Oberndorf, Owen J. Pinkerton

SEC modernizes valuation practices

USA - January 12 2021 On December 3, 2020, the Securities and Exchange Commission (the SEC) adopted new rule 2a-5 (Rule 2a-5) under the Investment Company Act of 1940, as…

Steven B. Boehm, Vlad M. Bulkin, Kristin Hespos Burns, Taylor W. Davison, Jake C. DuCharme, Stephani M. Hildebrandt, Ronald D. Coenen, Jr., Cynthia M. Krus, Anne G. Oberndorf, Stephen E. Roth, Payam Siadatpour, Jeanne M. Waters

Digital asset securities: broker-dealer custody issues

USA - January 12 2021 As 2020 came to a close, the issue of how digital asset securities can be custodied by US broker-dealers became clearer, at least from a regulatory…

John H. Walsh, Bria M. Adams, Eric A. Arnold, James M. Cain, Issa J. Hanna, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk, Ben Marzouk, Alexa R. Shockley, Holly H. Smith

Diversity boost in the boardroom: Nasdaq proposes new rules to spark increased board diversity for listed companies

USA - January 5 2021 On December 1, 2020, The NASDAQ Stock Market LLC (Nasdaq) filed a proposal with the Securities and Exchange Commission (SEC) to adopt listing rules…

Steven B. Boehm, Vlad M. Bulkin, Kristin Hespos Burns, Stephani M. Hildebrandt, Cynthia M. Krus, Anne G. Oberndorf, Payam Siadatpour