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Results: 1-10 of 1,189

SEC Proposes Regulation Best Interest for Broker-Dealers
  • Stinson Leonard Street LLP
  • 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
  • Stinson Leonard Street LLP
  • 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


ISS Updates FAQs on U.S. Proxy Voting Research and Policies
  • Stinson Leonard Street LLP
  • USA
  • April 2 2018

ISS has updated its frequently asked questions on U.S. Proxy Voting Research Procedures & Policies (Excluding Compensation-Related). New and updated


Advocacy Group Requests SEC to Investigate Irregularities in Pay Ratios
  • Stinson Leonard Street LLP
  • 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
  • Stinson Leonard Street LLP
  • 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


Fintech Company Subject to SEC Enforcement Action for Exceeding Rule 701 Option Grant Limit
  • Stinson Leonard Street LLP
  • 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
  • Stinson Leonard Street LLP
  • 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
  • Stinson Leonard Street LLP
  • 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
  • Stinson Leonard Street LLP
  • 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


SEC Approves NYSE Rule Modifying Requirements for Physical Delivery of Proxy Materials
  • Stinson Leonard Street LLP
  • USA
  • March 1 2018

Just as proxy season gets into full swing, the SEC has helpfully approved a modification to the NYSE’s rules regarding physical delivery of proxy