21,175 results found

On August 5, 2014, the International Organization of Securities Commissions announced the launch of an information repository for central clearing requirements for OTC derivatives.

This Alert considers the opportunities available to managers under the marketing passport, and the implications of obtaining it.

This White Paper highlights select recent developments in certain countries that could have implications for employee equity plans offered by multinational companies to employees in such jurisdictions

In particular, the Summary describes the Financial Accounting Standards Board's recent updates on consolidation and income taxes.

The duties imposed on compensation committees of publicly traded companies have evolved and grown over time.

2020 Filing Season Survey: SEC Disclosures By Public Companies Around the Coronavirus (COVID-19).

In 2021, the number of publicly resolved Foreign Corrupt Practices Act (FCPA) cases was relatively low compared with previous years, but there were numerous interesting developments, and enforcement activity going forward ...

The revisions became effective on December 26, 2018.

The SEC adopted revisions to the Electronic Data Gathering, Analysis and Retrieval System ("EDGAR") Filer Manual and the associated rule under Reg. S-T.

Womble Bond Dickinson LLP Partner Britt Biles moderated a discussion with Director Grewal.

When faced with a customer complaint, the key is what you do next. In the last of our podcast series, Ernie Badway and I discussed what firms should do when confronted with a customer complaint.

A Discussion on the New SEC Disclosure Rules.

Bob Plaze authored an article for the Investment Adviser Association Newsletter.

The SEC has scheduled an open meeting for this Wednesday to consider whether to adopt rules and forms related to the offer and sale of securities pursuant to Section 3(b) of the Securities Act of 1933...

SEC disclosure requirements have prompted debate among key stakeholders regarding how to strike the right balance, weighing investor protection concerns and regulatory burdens.

In a letter dated November 15, 2013, SEC Chair White provides insights regarding the SEC Staff’s review of the accredited investor definition.

In prior posts, we noted that the Committee had discussed revisions to the current accredited investor definition in order to address, among other things, investor sophistication.