Articles: 1-10 of 377
SEC Proposes Regulation Best Interest for Broker-Dealers
USA - April 18 2018 The SEC has proposed two rules and an interpretation to address retail investor confusion about the relationships that they have with investment…
SEC Clarifies Need for GAAP Reconciliations for Forecasts Used in Business Combinations
USA - April 4 2018 The SEC previously noted in a Compliance and Disclosure Interpretation that financial measures included in forecasts provided to a financial advisor…
“True Lender” Litigation on the Rise: Recent Litigation and Enforcement Actions Challenge Traditional Bank Partnership Model
USA - April 2 2018 Over the last two years the financial industry has seen an uptick in litigation and enforcement actions aimed at banks and their non-bank lending…
Advocacy Group Requests SEC to Investigate Irregularities in Pay Ratios
USA - March 29 2018 An advocacy group, Public Citizen, has requested the SEC to investigate irregularities and inconsistencies in pay ratios reported by public companies…
Hensarling Pressures Senate to Negotiate Dodd-Frank Reform
USA - March 28 2018 On March 14, 2018, the Senate passed the Economic Growth, Regulatory Relief and Consumer Protection Act which has been billed as Dodd-Frank reform…
Updates to Minnesota Corporate Laws
USA - March 22 2018 The Minnesota legislature is on the verge of approving several changes to the Minnesota Business Corporation Act, Chapter 302A of the Minnesota…
Fintech Company Subject to SEC Enforcement Action for Exceeding Rule 701 Option Grant Limit
USA - March 17 2018 Subject to its limits, Rule 701 permits non-reporting companies to grant employees equity without registration under the Securities Act of 1933. One…
Business Judgment or Entire Fairness: The Meaning of Delaware’s Interested Director Statute
USA - March 14 2018 Cummings v. Eden et al was a case where the Delaware Court of Chancery examined allegations that members of a board of directors breached their…
Court Considers Interaction between Alleged Controlling Stockholder and Corwin
USA - March 11 2018 In Re Rouse Properties, Inc. Fiduciary Litigation considers what the Delaware Court of Chancery describes as a pattern in the post-Corwin, post-MFW…
SEC Cybersecurity Disclosure and Controls Checklist
USA - March 5 2018 In February 2018 the SEC outlined its views with respect to cybersecurity disclosure requirements under the federal securities laws as they apply to…
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