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The Federal Deposit Insurance Corporation (FDIC) issued today for public comment its anticipated guidance for private equity investors in failed banks or thrifts.

On 15 October 2026, the Securities and Exchange Commission approved amendments to FINRA Rule 2210 that will permit broker-dealers to include projected performance and targeted returns in certain investor communications.1

In a ruling issued on Friday, June 23, 2006, the United States Court of Appeals for the District of Columbia Circuit vacated Rule 203(b)(3)(2) (the "Rule") promulgated under the Investment Advisers Act of 1940 (the "Act"), which had been adopted by the Securities and Exchange Commission (the "SEC") in December 2004 after prolonged heated debate.

In Fir Tree Capital Opportunity Master Fund v. Anglo Irish Bank Corporation Limited (November 28, 2011)

Yesterday U.S. Treasury Secretary Timothy Geithner announced a broad, multi-faceted program, the Financial Stability Plan (the “FSP”), designed to strengthen the financial system through additional capital injections to banks, creation of a public/private investment fund to buy troubled assets, establishment of guidelines for mortgage modification, and expansion of a Federal Reserve lending program aimed at small businesses and communities.

A bankruptcy court in the Southern District of New York has recently designated the plan vote of a secured creditor because it acquired its secured claims with the motivation of taking over the debtor.

Reports of Foreign Bank and Financial Accounts on Form TD F 90-22.1 (FBAR) for financial accounts held during the 2008 calendar year are due next Tuesday, June 30, 2009.

On Tuesday, February 10, 2009, U.S. Treasury Secretary, Timothy Geithner, unveiled a new plan designed to address the U.S. credit crisis and restore stability to the nation's financial system.

The Small Business Jobs Act of 2010 provides a total exclusion of gain for sales of qualified small business stock.

On December 16, 2005, the Internal Revenue Service issued guidance stating that income from a derivative contract with respect to a commodity index is not qualifying income for regulated investment companies, or mutual funds, under the income test prescribed by Section 851(b)(2) of the Internal Revenue Code.

On July 7, 2020, the San Francisco Board of Supervisors passed an emergency ordinance referred to as the "Healthy Buildings Ordinance" (the "Ordinance") requiring all large non-city-owned ...

Almost anyone who reviews an underwriting agreement or engagement letter with a major investment banking firm for the first time stands back in awe.

Corporate scandals and emerging market corporate governance concerns have lead to an increase in the use of global good-company guideposts, adding new complexity to the investor relations function.

Public companies have used shareholder rights plans, or "poison pills," as a takeover defense for more than 20 years.

On June 5, 2019, the SEC adopted a package of rules and interpretations (the Adopted Rules) to clarify and further articulate the relationship between retail investors and their broker-dealers or investment advisers.

Mark T. Uyeda, Commissioner at the U.S. Securities and Exchange Commission (SEC), spoke at the California ‘40 Acts Group on January 27 regarding various investment-related ESG issues.

The Securities and Exchange Commission (the "SEC") took two important steps toward addressing the uncertainty regarding the permissible investment activities of business development companies ("BDCs").

Those persons and entities that were direct or "indirect" investors with Bernard L. Madoff Investments Securities LLC have been confronted with a myriad of issues affecting their investments and recovering them.