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Results: 1-10 of 26,819

To Be Announced: Implementation of FINRA Rule 4210 for Covered Agency Transactions
  • Morgan Lewis & Bockius LLP
  • USA
  • September 20 2017

Broker-dealers can breathe a collective sigh of relief. The Financial Industry Regulatory Authority, Inc. (FINRA) has filed a rule change with the


Looking Ahead to the 2018 Proxy Season: Preparing for CEO Pay Ratio Rules Disclosure Requirements
  • Proskauer Rose LLP
  • USA
  • September 19 2017

As part of the Dodd-Frank Wall Street Reform and Consumer Protection Act enacted in July 2010, Congress directed the Securities and Exchange


Business Guide to Anti-Corruption Laws - 2017 Mid-Year Update
  • Jenner & Block LLP
  • Global, United Kingdom, USA
  • September 18 2017

This mid-year update discusses the most significant anticorruption enforcement developments from the first six months of 2017, with a focus on


Can I accept bitcoin? Should I accept bitcoin?
  • Ashfords LLP
  • United Kingdom
  • September 18 2017

Virtual currencies have recently been in the news as a result of the US Securities and Exchange Commission’s ruling that offers and sales of digital


Snap Judgment: Unicorns Under Pressure and Addressing Risks of Private Lawsuits
  • Proskauer Rose LLP
  • USA
  • September 18 2017

The recent IPOs of Snap, Inc. and Blue Apron indicate that while the IPO pipeline continues to flow, there may be a cautionary tale for “unicorns” -


This Week in Washington for September 18, 2017
  • Paul Hastings LLP
  • USA
  • September 18 2017

Fallout from the massive Equifax data breach was a focal point of conversation last week, with millions of consumers trying to figure out whether


SEC Advisory Committee recommends changes to Rule 701
  • Cooley LLP
  • USA
  • September 18 2017

On Wednesday of last week, at the final meeting of the SEC Advisory Committee on Small and Emerging Companies (soon to morph into the Small Business


SEC Files Administrative Proceeding Against An Investment Services Firm For Improperly Recommending Higher-Fee Mutual Funds To Investment Clients
  • Shearman & Sterling LLP
  • USA
  • September 18 2017

On September 14, 2017, the Securities and Exchange Commission (“SEC”) filed an administrative proceeding against SunTrust Investment Services, Inc


Equifax Data Breach Highlights SEC Disclosure Obligations for Public Companies in the Wake of Cybersecurity Attacks
  • Cadwalader Wickersham & Taft LLP
  • USA
  • September 18 2017

On September 7, 2017, Equifax, one of the country’s three primary credit reporting bureaus, announced it had suffered a major cybersecurity breach


Filed v. Furnished, What’s the Difference?
  • Sullivan & Worcester LLP
  • USA
  • September 18 2017

When disclosing information in a filing with the SEC, it is important to know whether such disclosure and any related exhibits should be "filed" or