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Searching Content indexed under Securities by Skadden, Arps, Slate, Meagher & Flom (UK) LLP ordered by Published Date Descending.
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1
SEC Staff Announces Changes To Shareholder Proposal No-Action Request Process
On September 6, 2019, the Division of Corporation Finance (Staff) of the Securities and Exchange Commission (SEC)
United States
16 Sep 2019
2
10th Circ.'s Securities Fraud Reading May Be Too Broad
Partner Peter Morrison, counsel Virginia Milstead and associate Raza Rasheed review the U.S. Court of Appeals for the Tenth Circuit's ruling in Malouf v. SEC.
United States
3 Sep 2019
3
SEC Provides Guidance On Investment Advisers' Proxy Voting Responsibilities, Proxy Voting Advice Rules
On August 21, 2019, the Securities and Exchange Commission (SEC), by a 3-2 vote, issued two separate releases providing interpretive guidance relating
United States
28 Aug 2019
4
Neuberger Berman Alleges Saba Capital Violating 1940 Act To Win Proxy Fights; Saba Investors On Notice, Should Consider Own Duties
As recently noted, Saba Capital Management, L.P. (Saba) has begun to escalate its attacks on the closed-end fund asset class, at the expense of retail fund shareholders
United States
22 Aug 2019
5
SEC Proposes To Modernize Business, Legal Proceeding And Risk Factor Disclosure Requirements Under Regulation S-K
On August 8, 2019, the Securities and Exchange Commission (SEC) announced proposed amendments to modernize the rules requiring description of business
UK
19 Aug 2019
6
Another Mutual Fund Adviser Prevails At Trial In Excessive Fee Case
On July 31, 2019, Judge George H. Wu of the U.S. District Court for the Central District of California released tentative findings of fact and conclusions of law
United States
16 Aug 2019
7
SEC Staff Encourages Proactive Approach To Libor Transition Issues
On July 12, 2019, the staff of the Division of Corporation Finance, Division of Investment Management, Division of Trading and Markets, and Office of the Chief Accountant of the SEC issued a public statement...
United States
16 Aug 2019
8
HKEx's Latest Rule Amendments To Crack Down On Backdoor Listing And Shell Activities
On 26 July 2019, The Stock Exchange of Hong Kong Limited (HKEx) published conclusions to its consultation paper regarding backdoor listings, continuing listing criteria
Hong Kong
6 Aug 2019
9
SEC Staff Guidance On Shareholder Proposals: A Murky Path Forward
Guidance and no-action decisions from the staff of the SEC's Division of Corporation Finance provide important guideposts, but the path forward on many shareholder proposals remains murky.
UK
12 Jul 2019
10
D.C. Circuit Upholds Federal Pay-To-Play Rule
On June 18, 2019, the U.S. Court of Appeals for the District of Columbia Circuit dismissed a challenge to FINRA pay-to-play Rule 2030 brought by the New York Republican State Committee and the Tennessee Republican Party.
United States
8 Jul 2019
11
Supreme Court Declines To Further Define Morrison's Domestic Transaction Requirement
The U.S. Supreme Court today denied the petition for certiorari in Toshiba Corp. v. Automotive Industries Pension Trust Fund, No. 18-486 (U.S. Oct. 15, 2018),
United States
5 Jul 2019
12
Activists Take Another $290 Million Bite Out Of Vulnerable Closed-End Fund Asset Class
On June 14, 2019, Saba Capital Management, L.P. (Saba) entered into three standstill agreements with Invesco Advisers, Inc.
United States
2 Jul 2019
13
Life Sciences Companies May Face More Scrutiny In Using FDA Documents To Dismiss Securities Cases
Following a recent decision from the U.S. Court of Appeals for the Ninth Circuit in Khoja v. Orexigen Therapeutics, Inc., plaintiffs alleging securities fraud against companies
United States
28 Jun 2019
14
Inside The Courts – An Update From Skadden Securities Litigators
This quarter's issue includes summaries and associated court opinions of selected cases principally decided between February and April 2019.
UK
26 Jun 2019
15
SEC Adopts Rules And Interpretations Related To Standards Of Conduct For Broker-Dealers And Investment Advisers
On June 5, 2019, the SEC voted to adopt a package of rules and interpretations related to standards of conduct for broker-dealers and investment advisers
United States
14 Jun 2019
16
Conflict Minerals Disclosures Due May 31, 2019
As a reminder, conflict minerals disclosures on Forms SD are required to be filed with the Securities and Exchange Commission (SEC) no later than May 31, 2019. There have not been any notable regulatory updates related to the conflict minerals rules since April 2017.
UK
10 Jun 2019
17
A Guide To Redacting Commercially Sensitive Information From Exhibits Filed With The SEC
Rules requiring material agreements to be filed as exhibits to reports and registration statements with the Securities and Exchange Commission (SEC)
United States
31 May 2019
18
SEC Proposes Changes To Financial Disclosure Requirements For Acquisitions And Dispositions
On May 3, 2019, the Securities and Exchange Commission (SEC) proposed extensive changes to the financial disclosure requirements for business acquisitions ...
United States
28 May 2019
19
Charter-Based Forum-Selection Provisions Designed To Govern Claims Under The Securities Act Found Invalid
In March 2018, the U.S. Supreme Court, in Cyan, Inc. v. Beaver County Employees Retirement Fund, 138 S. Ct. 1061 (2018), resolved a jurisprudential split among federal courts and held that certain federal securities
United States
28 May 2019
20
NYSE Revises Exceptions To Shareholder Approval Rules
On March 20, 2019, the Securities and Exchange Commission (SEC) approved an amendment to the New York Stock Exchange (NYSE) ...
United States
20 May 2019
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