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Results:1-10 of 26,017

Where Have The SEC Enforcement Actions Gone?
  • Troutman Sanders LLP
  • USA
  • September 21 2018

In several weeks, the U.S. Securities and Exchange Commission will release its annual enforcement results, and speculation about the trajectory of the


SEC Announces Roundtable on Proxy Process, Signals Potential Change in Approach to Proxy Advisory Firms
  • Vinson & Elkins LLP
  • USA
  • September 19 2018

Recent public statements by the Division of Investment Management of the U.S. Securities and Exchange Commission and by an SEC Commissioner have


Proxy Advisory Firm Guidance Withdrawn by the SEC
  • Hunton Andrews Kurth LLP
  • USA
  • September 19 2018

On September 13, 2018, the staff (the "Staff") of the Division of Investment Management of the Securities and Exchange Commission (the "SEC") issued a


Are you a smaller reporting company? Why you should care
  • DLA Piper
  • USA
  • September 19 2018

Earlier this year, the Securities and Exchange Commission (the SEC) adopted amendments to the smaller reporting company (SRC) definition to increase


No Uniform Fiduciary Standard - Not so fast says New Jersey
  • Reed Smith LLP
  • USA
  • September 19 2018

Earlier this week, New Jersey Governor Phil Murphy announced that the New Jersey Bureau of Securities would start rulemaking to “impose a fiduciary


United Technologies Hit with $13.9 Million Fine for Making Illicit Payments
  • Ropes & Gray LLP
  • USA
  • September 19 2018

On September 12, 2018, the United Technologies Corporation ("UTC") reached a $13.9 million resolution with the U.S. Securities and Exchange Commission


Size Matters: SEC Helps Middle Market Companies
  • Dinsmore & Shohl LLP
  • USA
  • September 19 2018

Recently, the Securities and Exchange Commission adopted amendments to the smaller reporting company definition to increase the thresholds for


One-Two-Three Punch: SEC and FINRA Announce Actions Against Unregistered Broker, Digital Asset Manager and FINRA Registered Person
  • Sidley Austin LLP
  • USA
  • September 18 2018

On September 11, the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) separately announced three “first of


Another Wave of Disclosure Simplification Rules Adopted by the SEC
  • Shearman & Sterling LLP
  • USA
  • September 18 2018

On August 17, 2018, the Securities and Exchange Commission (SEC) announced the adoption of amendments to simplify and update disclosure requirements


Increased Transparency to Continuing Disclosure Requirements
  • McCarter & English LLP
  • USA
  • September 18 2018

In an effort to increase transparency and protect holders of municipal securities, on August 20, 2018, the U.S. Securities and Exchange Commission