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Mayer Brown
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By Anna T. Pinedo
Early in 2018, the Nasdaq filed with the SEC an amendment that would update certain aspects of the Nasdaq shareholder approval rules, Rule 5635.
By Anna T. Pinedo
In two recent papers, including "Inside the ‘Black Box' of Private In-House Meetings," authors Robert M. Bowen, Shantanu Dutta, Songlian Tang, and PengCheng Zhu, consider the timing of trading ...
By Anna T. Pinedo
Congress has passed the Economic Growth, Regulatory Relief, and Consumer Protection Act, which principally addresses financial regulatory measures.
By Brian D. Hirshberg
Effective May 11, 2018, the U.S. Treasury's Financial Crimes Enforcement Network ("FinCEN") implemented a new customer due diligence requirement.
By Brian D. Hirshberg
On January 1, 2018, a European Union law regulating packaged retail insurance-based investment products went into effect targeting securities offered to retail investors by investment funds.
By Anna T. Pinedo
In a recent paper, authors Onur Bayar, Thomas J. Chemmaur and Paolo Fulghieri consider whether allowing insiders with nonpublic information to disclose such information prior to selling their securities.
By Anna T. Pinedo
The recently updated Securities and Exchange Commission agenda (see here and here) provides some insight on what to expect in upcoming months.
By Anna T. Pinedo
In recent remarks, Commissioner Peirce commented on capital formation, repeating some statistics about the decline in the number of IPOs in recent years and the relatively small number of public companies (about 4,500).
By Lailey Rezai
Traditionally, courts will defer to the business decisions of a company with independent directors that act in good faith having undertaken reasonable care.
By Laura Richman, Michael Hermsen
On May 11, 2018, the staff of the Division of Corporation Finance of the US Securities and Exchange Commission issued compliance and disclosure interpretations (C&DIs) on proxy rules and related Schedules 14A and 14C.
By Anna T. Pinedo
Recently, the Ninth Circuit held that only negligence, not scienter, is required to be shown where a violation of the tender offer provisions of Section 14(e) is alleged.
By Anna T. Pinedo
Recently, the Securities and Exchange Commission (the "SEC") announced a settlement with a registrant relating to the registrant's failure to disclose the occurrence of a cyber breach.
By Ryan Castillo
On April 4, 2018, the staff of the SEC's Division of Corporation Finance updated its Compliance & Disclosure Interpretations on the use of non-GAAP financial measures, by issuing two new C&DIs.
By Ryan Castillo
The CAQ publication notes that audit committees have an important responsibility to oversee the financial reporting process and external audit.
By Martín M. Estrada
Recent years have seen significant growth in Securities Act of 1933 class actions filed in California state courts, based on conflicting readings of the jurisdictional provisions of SLUSA.
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