The SEC and Institutional Shareholder Services, Inc. (ISS) have settled public administrative and cease-and-desist proceedings initiated against ISS by the SEC alleging that ISS violated Section 204A of the Advisers Act by...more
5/24/2013
- ISS Proxy Solicitations SEC Settlement Shareholders
On May 18, 2013, SEC Commissioner Luis A. Aguilar spoke at the annual gala of the Georgia Hispanic Chamber of Commerce, using the opportunity to highlight the contributions of immigrants (and Hispanic immigrants in...more
5/22/2013
- Immigration Reform JOBS Act Regulation A SEC
For the first time, the SEC has entered into a Non-Prosecution Agreement (NPA) with a company relating to misconduct under the Foreign Corrupt Practices Act (FCPA). The SEC decided not to prosecute Ralph Lauren Corporation...more
4/23/2013
- Compliance Enforcement FCPA Investigations Ralph Lauren SEC
Today the CFTC and the SEC jointly issued final rules that require regulated entities to adopt programs designed to prevent identity theft – so-called “red flags” rules....more
4/11/2013
- CFTC FCRA Identity Theft Red Flags Rules SEC
April 5, 2013 marked the one-year anniversary of the passage of the JOBS Act. Here’s a roundup of a few of the media outlets that took the occasion as an opportunity to provide commentary on the effectiveness of the...more
4/9/2013
The Delaware chancery court recently restored some clarity to its jurisprudence regarding the effect of a reverse triangular merger (RTM) on contracts of the target company that contain anti-assignment clauses. An April 2011...more
3/4/2013
- Assignments Reverse Triangular Mergers
FINRA has released a set of FAQs relating to its review of public offerings filed with FINRA’s Public Offering System, which replaced COBRADesk as FINRA’s online filing system in June of 2012....more
2/4/2013
- FINRA Public Offerings Right of FIrst Refusal
