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614 results found


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


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


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


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


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


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


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


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).


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.


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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