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On January 11, the Securities and Exchange Commission approved final amendments to listing standards submitted by NYSE Regulation, Inc. and NASDAQ Stock Market LLC with regard to the independence of compensation committees and the authority to retain and independence of, compensation consultants and other compensation advisers.

Click on the links below to view SEC notices of exchange rule changes and proposals for the week of November 27 to December 1, 2017.

Click on the links below to view SEC notices of exchange rule changes and proposals for the week of October 16 to October 20, 2017.

The U.S. Securities and Exchange Commission adopted Rule 10C-1 to implement the provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 that affect the composition of compensation committee, the use of compensation advisers, and disclosure provided by companies.

In another step toward implementation of the Dodd-Frank provisions on corporate governance, NYSE and Nasdaq have issued proposed listing standards on compensation committee and compensation adviser independence requirements.

In the current economic landscape, it is increasingly difficult to persuade prospective buyers to enter into large, all-cash transactions on an accelerated basis.

On June 15, 2022, the Securities and Exchange Commission (the "SEC") issued a request for comment to "help determine which ‘information providers,' such as index providers...

The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:

The staff of the Securities and Exchange Commission’s Division of Corporation Finance (Staff) recently issued additional frequently asked questions (FAQs) providing guidance on questions raised under Title I (also known as the IPO on-ramp provisions) of the Jumpstart Our Business Startups Act (JOBS Act).

Click on the links below to view SEC notices of exchange rule changes and proposals for the week of October 30 to November 3, 2017.

The centerpiece of the JOBS Act, the "IPO on-ramp" provisions contained in Title I, have proven quite useful.

The staff of the Division of Corporation Finance (Staff) of the Securities and Exchange Commission (SEC) recently issued new frequently asked questions (Title I FAQs) regarding Title I of the Jumpstart Our Business Startups Act (JOBS Act).

Although the SEC’s final rule relaxing the ban on general solicitation in certain Rule 506 offerings and Rule 144A offerings was highly anticipated, the final rule leaves open or raises a number of interesting questions.

The Final Notice issued to Lamprell plc on 15 March 2013 by the Financial Services Authority provides a timely reminder to listed companies of the consequences of non-compliance with their obligations under the Listing Rules.

On April 5, 2012, President Obama signed the Jumpstart Our Business Startups (JOBS) Act (the Act).

The SEC has adopted amendments to Rule 506 under the Securities Act of 1933 that permit general solicitation and general advertising in securities offerings under this exemption from securities registration provided all purchasers are accredited investors.