In this issue:
- Council of Institutional Investors Issues Report on Board Evaluation Disclosure
- FINRA Revises Proposal to Adopt Consolidated FINRA Rule 2231
- IRS Considers Whether Management Fees of...more
9/22/2014
/ Broker-Dealer ,
CFTC ,
Corporate Governance ,
Dodd-Frank ,
EU ,
Financial Industry Regulatory Authority (FINRA) ,
Insider Trading ,
Institutional Investment ,
IRS ,
Limited Liability Company (LLC) ,
Margin Requirements ,
Swaps
In this issue:
- Proposed Amendments to Delaware General Corporation Law and Courts and Judicial Procedure Law
- SEC Division of Corporation Finance Issues New C&DIs Relating to Social Media Use
- FINRA...more
4/29/2014
/ CFTC ,
Clickwrap Agreements ,
Compliance ,
Delaware General Corporation Law ,
Dodd-Frank ,
Enforcement ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Exchanges ,
No-Action Letters ,
Recordkeeping Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Swaps