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On September 27, the SEC adopted revisions to the EDGAR Manual.

We have updated our detailed set of FAQs on the SEC's new pay versus performance rules in an effort to answer the numerous questions we have received from our public company clients over the last few months.

In a 4-to-1 decision in the Credit Suisse case, the New York Court of Appeals held that the statute of limitations to bring a claim under the Martin Act is three and not six years.

On August 10, 2018, the SEC Division of Corporation Finance published a Small Entity Compliance Guide for Issuers in connection with amendments that raised the thresholds in the definition...

FINRA recently introduced a new rule known as the "senior rule" that authorizes FINRA member firms to place a temporary hold on disbursements of funds or securities for up to 15 business days...

In the settlement, R.T. Jones agreed to cease and desist from future violations of Rule 30(a) as well as pay a $75,000 penalty.

The SEC will accept public comment on the proposal for 60 days after its publication in the Federal Register.

WilmerHale attorneys Phillip Gillespie and Gretchen Passe Roin discuss the SEC's emergency steps to address registered adviser disruption in the wake of the COVID-19 pandemic and its efforts to...

Butler Snow attorneys Kristin E. Konschnik and Barton T. Lee recently authored a Tax Notes International article about tax and securities law issues in inbound private client structures.

I recently blogged about the meaning of the "E" in email. For a further discussion of the dangers associated with email, you can listen to this podcast.

The latest in the series addressing issues surrounding elder clients.

Ernie Badway and I have prepared a series of podcasts dealing with the relationships between broker-dealer, investment advisors and their customers.

Professor Ann Lipton, at the Business Law Prof Blog, has posted an interesting piece as to why the various state securities laws are named "Blue Sky" laws.

The amendments - which require fiduciaries of plans subject to ERISA to make investment decisions based solely on risk-adjusted economic value - go into effect on January 12, 2021.

The SEC's whistleblower program has now awarded more than $62 million to 28 whistleblowers since its inception in 2011.

The court-ordered stay of the SEC's new climate rules (discussed in our prior post here) has been lifted, at least for the time being.

On April 4, 2024, rather than waiting for the Eighth Circuit to issue a ruling on plaintiffs' pending emergency motion for an administrative stay of the SEC's final rule regarding the Enhancement...