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Searching Content from United States indexed under Corporate/Commercial Law ordered by Published Date Descending.
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1
Funds As Plaintiffs: A New Set Of Questions
Last year, plaintiffs filed an unprecedented 412 new federal class-action securities cases, meaning that the "likelihood of securities litigation against U.S. exchange-listed companies was greater in 2017...
United States
24 Apr 2018
2
SEC Proposes Standards Of Conduct For Broker-Dealers, Investment Advisers
In a first step toward developing standards for advice to retail customers, the Securities and Exchange Commission recently proposed rules ...
United States
24 Apr 2018
3
Five On Friday – Five Recent Developments That We've Been Watching Closely – April 20, 2018
It's Friday and time for another overview of developments in the field of business and human rights that we've been monitoring.
United States
24 Apr 2018
4
Antitrust Outlook - Spring 2018
As the calendar tells us it is spring, despite all contrary indications of ice and snow in the northern U.S. this April, we offer our outlook on the important developments ...
United States
24 Apr 2018
5
In Case You Missed It: Launch Links - Week Of April 15, 2018
Startups should expect to pivot and iterate, but taking time to consider a coherent business strategy can save a company from a lot of pain down the road.
Worldwide
24 Apr 2018
6
SEC Identifies Top 6 Investment Advisory Fee And Expense Compliance Issues For Investment Advisers
On April 12, 2018, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) issued a Risk Alert highlighting the most frequent advisory fee...
United States
24 Apr 2018
7
Vertical Agreements In The Online Sales Of Goods
The growth of e-commerce and the resulting increase in price transparency and price competition have a significant impact on companies' distribution strategies and consumer behavior.
United States
23 Apr 2018
8
Private Equity Sponsor Named As FCA Defendant
DOJ also made news in February 2018 when it named a private equity firm as a co-defendant in United States ex rel. Medrano and Lopez v. Diabetic Care Rx, LLC d/b/a Patient Care America, e ...
United States
23 Apr 2018
9
Reg. Tracker: April 16 To April 30 – April 13, 2018
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, compliance dates, and effective dates.
United States
23 Apr 2018
10
MSRB Reaffirms Investor Protection Obligations For Transactions Involving Securities Of Distressed Municipalities
MSRB reminded brokers, dealers and municipal securities dealers ("dealers") of their investor protection obligations regarding transactions in the municipal securities of distressed municipalities.
United States
23 Apr 2018
11
Senators Ask For CFIUS Review Of A Foreign Acquisition Of An American Beef Processing Company
Republican and Democratic Senators from the Committee on Agriculture sent a letter to Treasury Secretary Steven Mnuchin urging the Committee on Foreign Investment ...
United States
23 Apr 2018
12
SEC Proposes "Retail Best Interest" Standard For Broker-Dealers; Fiduciary Interpretation For Advisers
The SEC proposed to (i) require broker-dealers to act in the "best interests" of retail customers when making a recommendation of any securities transaction ...
United States
23 Apr 2018
13
SEC Staff Issues Risk Alert On The Six Most Frequent Fee And Expense Compliance Issues
On April 12, 2018, the SEC's Office of Compliance Inspections and Examinations issued a risk alert listing the most common compliance issues concerning fees and expenses charged by SEC-registered investment advisers
United States
23 Apr 2018
14
New DoD Class Deviation Tackles Micro-Purchase And Simplified Acquisition Thresholds
On April 13, 2018, The Department of Defense (DoD) issued Class Deviation 2018-O00013, which consolidates and supersedes two prior class deviations that increased the micro-purchase...
United States
23 Apr 2018
15
Embracing The Quasi-Clawback
In 2015, the SEC proposed rules implementing Dodd-Frank's requirement that all listed companies adopt and administer a compensation clawback policy.
United States
23 Apr 2018
16
Mark Zuckerberg, FOSTA-SESTA, And The Challenges Of Content Moderation
In his testimony before Congress last week, Facebook CEO Mark Zuckerberg observed that, on issues ranging from fake news to hate speech ...
United States
23 Apr 2018
17
Going International – A Primer For The Global Economy In Ten Questions
The global economy has created an increasingly challenging phenomenon of cross-border enforcement. By way of recent example, how does Brazil fine U.S.-based Facebook $33 million ...
United States
23 Apr 2018
18
Broker-Dealer Standard Of Care: The SEC Enters The Fray
At an open meeting held earlier today, the SEC voted 4-1 to propose a package of rules, forms, and guidance designed to define a new "best interest" standard of care for broker-dealers dealing with retail investors.
United States
23 Apr 2018
19
Governance & Securities Law Focus: Europe Edition, April 2018
On 16 January 2018, the ESMA published an updated version of its practical guide to the national rules across the EEA on the notification of major holdings under the Transparency Directive.
United States
20 Apr 2018
20
Tronox Runs Into Procedural Quagmire With Challenges To Cristal Acquisition
The FTC pursued an administrative challenge against Tronox's proposed acquisition of Cristal without also seeking a preliminary injunction.
United States
20 Apr 2018
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