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Cadwalader, Wickersham & Taft LLP
The SEC stated that the firm's methodology required it to prioritize the fulfillment of customer, dealer, syndicate member and other broker-dealer orders over flipper orders.
Cadwalader, Wickersham & Taft LLP
The SEC Division of Corporation Finance granted no-action relief to an exchange-traded fund from tender offer rules.
Bryan Cave Leighton Paisner LLP
Revenue Procedure 2021-40 amplifies Rev. Proc. 2021-3, 2021-1 IRB 140, which sets forth areas of the Internal Revenue Code (Code) relating to issues on which the Internal Revenue Service (Service)...
Shearman & Sterling LLP
On September 13, 2021, Judge Edward M. Chen of the United States District Court for the Northern District of California dismissed with prejudice a putative class action against a cybersecurity company and its CEO for violations of Section 14(e) and 20(a) of the Securities Exchange Act of 1934.
Mintz
Last week, Fitch Ratings announced the launch of new ESG ratings system, which is intended to use a "clear methodolog[y]," of a "full assessment of ESG performance" that "allow[s] for detailed comparability."
Arnold & Porter
This Advisory is the fifth in a series concerning environmental, social and governance (ESG) considerations for the financial services industry and other companies.
Cadwalader, Wickersham & Taft LLP
The alternative settlement platform is intended to shorten the settlement cycle.
Cadwalader, Wickersham & Taft LLP
The amendment requires that a member file a Form 211 if the member quotes a non-exchange-listed security in a quotation medium.
Bryan Cave Leighton Paisner LLP
The Internal Revenue Service explained how expanded tax benefits can help both individuals and businesses give to charity before the end of this year.
Morrison & Foerster LLP
Susan ("Suz") Mac Cormac spoke with Law360 for a feature as one of the 2021 Private Equity MVPs, discussing her biggest challenges and accomplishments in the past year
Mintz
For key stakeholders, environmental and climate change factors present operational challenges and opportunities and are increasingly a focal point for regulators, investors and consumers alike.
Morrison & Foerster LLP
On August 24, 2021, the SEC announced a settled enforcement action against Pennsylvania-based Healthcare Services Group, Inc. (HCSG) and its former CFO for accounting and disclosure...
Shearman & Sterling LLP
ALTHOUGH WE HAVE NOT conquered the virus yet, we all hope that the world is gradually emerging from the global pandemic, one of the most challenging and uncertain times...
Sheehan Phinney Bass & Green
As we all recover from Zoom fatigue, many of us would like to make virtual meetings a relic of the COVID Era. But New Hampshire nonprofits can advance their missions by ensuring that ...
Sheehan Phinney Bass & Green
In recent years, there has been an insurgence of private firms who have begun systematically challenging nonprofits' project-transfer rights and disrupting the normal exit process in hopes of selling the...
Cahill Gordon & Reindel LLP
On August 26, 2021, the Investor as Owner Subcommittee ("Subcommittee") of the Securities and Exchange Commission's Investor Advisory Committee ("IAC") issued draft recommendations regarding trading plans intended to...
Cooley LLP
The Turnaround/Transaction of the Year Awards are chosen based on a rigorous peer-review process by the volunteer TMA Awards Committee.
Bryan Cave Leighton Paisner LLP
Yesterday, SEC Chairman Gensler addressed key elements of his agenda in a speech before the SEC's Investment Advisory Committee, which subsequently approved two non-binding recommendations.
Mintz
In a first-of-its kind enforcement action, the SEC fined an alternative data provider for the mobile app industry and its former CEO for misrepresentations and misuse of confidential data.
Cadwalader, Wickersham & Taft LLP
As a result, the deadline was extended from November 12, 2021 to November 30, 2021.
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