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The Treasury Department has decided that its first exercise of its authority under the Emergency Economic Stabilization Act (“Act”) will be to purchase up to $250 billion in preferred stock in the nation’s financial institutions under a Preferred Stock Purchase Program (“Program”).

On October 18, 2010, the Securities and Exchange Commission proposed rules to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act pertaining to Say-on-Pay Votes, Frequency Votes and Golden Parachute Votes.

The Division of Corporation Finance of the Securities and Exchange Commission (SEC) recently announced further changes to its policy relating to non-public review of registration statements of foreign issuers.

The Securities and Exchange Commission ("SEC") recently adopted new Rule 15c3-5 (the "Rule")1 under the Securities Exchange Act of 1934 (the "Exchange Act") which will require broker-dealers having access to trading activities directly on an exchange or an alternative trading system ("ATS").

October 5, 2011, in "Fiero v. FINRA", No. 09-1556-cv (2d Cir. Oct. 5, 2011), the United States Court of Appeals for the Second Circuit held that FINRA and other self-regulatory organizations lack the authority to bring federal court actions to collect on their disciplinary fines.

On April 27, 2010, the United States Supreme Court in "Stolt-Nielsen S.A. v. AnimalFeeds International Corp." held 5-3 that, under the Federal Arbitration Act (the "FAA"), if a commercial arbitration agreement is silent on whether it allows for class arbitration, an arbitration panel or court "cannot" allow class arbitration.

On Tuesday, January 31, 2012, the Department of Justice held a celebration commemorating the 25th anniversary of the 1986 amendments to the civil False Claims Act.

On September 17, 2010, the SEC issued an Interpretive Release intended to improve discussion of liquidity and capital resources in MD&A in order to facilitate the understanding by investors of the liquidity and funding risks facing companies.

In spring 2009, the then Labour Government announced detailed and complex changes to the system of tax relief applicable to members of UK pension plans.

As part of a wider package of reforms to the UK’s corporate tax system aimed at becoming one of the most competitive tax systems in the G20, the UK Government plans to reform the tax treatment of profits from overseas subsidiaries and branches and to introduce a new ‘Patent Box’ regime.

The FTC has announced new reporting notification thresholds under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended ("HSR Act" or the "Act"), which will be effective 30 days after the revised thresholds are published in the Federal Register.

The FTC has announced that the reporting notification thresholds under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended (“HSR Act” or the “Act”) will be increased, effective 30 days after the revised thresholds have been published in the Federal Register.

The FTC has announced new reporting notification thresholds under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended ("HSR Act" or the "Act"), which will be effective 30 days after the revised thresholds are published in the Federal Register.

The U.S. Department of Labor (the "DOL") recently published a proposed rule that would amend the regulation interpreting the definition of "fiduciary" and significantly expand the types of investment advice activities that may give rise to fiduciary status under the Employee Retirement Income Security Act of 1974, as amended ("ERISA").

It has come to FINRA’s attention that certain issuers may be attempting to extract implicit promises of favorable research by suggesting publicly or directly to potential deal participants in advance of an anticipated offering that positive research coverage will be an implicit or explicit condition to selection as an underwriter or selling group member.

On January 16, 2009, the Securities and Exchange Commission (“SEC”) published a proposal by the Financial Industry Regulatory Authority, Inc. (“FINRA”) to establish a rule which would, for the first time, regulate “member private offerings,” private offerings of unregistered securities of FINRA members (broker-dealers) or their “control entities.”

The Supreme Court on Monday, in Janus Corp., Inc. v. First Derivative Traders ("Janus"), drew a bright line on an important question concerning who may be liable under the federal securities laws for "making" a false or misleading statement.

The US Department of the Treasury ("Treasury") has taken another step in the elaboration of a new framework for the regulation of over-the-counter ("OTC") derivatives, which are generally excluded or exempted from regulation under the federal commodities and securities laws currently in effect.