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614 results found

Article

Mayer Brown | USA | 23 Aug 2018

SEC Action Deadline Extended on Nasdaq Shareholder Approval Rule Change

As we previously blogged, Nasdaq Stock Market LLC filed a proposed rule change with the Securities and Exchange Commission to change their listing

Article

Mayer Brown | USA | 5 Jun 2018

Stock Buybacks and Rule 10b-18

Following the adoption of the Tax Cuts and Jobs Act, the debate regarding the use of stock repurchase programs by companies seems to have gotten more

Article

Hunton Andrews Kurth LLP | USA | 21 Dec 2017

Environmental Activist Submits Shareholder Proposal on Climate Control

Recently, the Securities and Exchange Commission (“SEC”) allowed Apple Inc. to exclude a shareholder proposal from its proxy statement that requested

Article

Morrison & Foerster LLP | USA | 12 Sep 2016

The next chapter: A new bond linking financial returns to environmental or social goals could thrive. But securities law conditions need to be met first

Shakespeare's Juliet may not have ascribed great significance to a name but for securities lawyers and market participants alike there is significance

Article

Proskauer Rose LLP | USA | 12 Aug 2016

SEC Whistleblower Enforcement Settlement Reminds Private Fund Sponsors to Review Organizational Policies and Procedures for Compliance with Governmental Whistleblower Programs

A recent SEC settlement of whistleblower charges should serve as a useful reminder for private fund sponsors to conduct a comprehensive review of

Article

Morgan Lewis | USA | 10 Aug 2016

SEC Approves Nasdaq ‘Golden Leash’ Disclosure Rules

The US Securities and Exchange Commission (SEC) recently approved a disclosure rule proposed by the NASDAQ Stock Market, LLC (Nasdaq) related to

Article

Sheppard Mullin Richter & Hampton LLP | USA | 1 Aug 2016

SEC Approves Nasdaq’s Proposed Rule on Third Party Payments to Directors and Director Nominees - The “Golden Leash” Disclosure

On July 1, 2016, the Securities and Exchange Commission (the “SEC”) approved, on an accelerated basis, proposed amendments to the listing rules of

Article

Vedder Price PC | USA | 18 Oct 2011

Janus Capital Group, Inc. v. First Derivative Traders: Supreme Court rules regarding liability of secondary actors

On June 13, 2011, the U.S. Supreme Court issued its ruling in Janus Capital Group, Inc. v. First Derivative Traders, 564 U.S. ___ (2011).

Article

Dorsey & Whitney LLP | USA | 3 Aug 2011

SEC files fraud action against biotech company and its executives

The SEC filed an action against a biotech company, three shareholder companies, and four senior executives of the company for making false statements regarding the FDA status of its sole product.

Article

Reed Smith LLP | USA | 2 Aug 2011

SEC finalizes Dodd-Frank rules affecting non-U.S. investment advisers

The Private Fund Investment Advisers Registration Act of 2010: The Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank"), which was signed into law July 21, 2010, effects changes to the Investment Advisers Act of 1940 (the "Act") that change the bases on which non-U.S. advisers will be subject to regulation by U.S. regulators.

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