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Financial Industry Regulatory Authority (FINRA) Directors

Wiley Rein LLP

Pay-to-Play Compliance Down the Stretch in the 2023 Elections

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The 2023 elections are a little over a month away, and hopefully, if your corporation holds or seeks state and local government business, you have been regularly reminding your directors, officers, and other employees about...more

Snell & Wilmer

Corporate Communicator - 2017 Annual Meeting Season

Snell & Wilmer on

Dear clients and friends, We present our traditional year-end issue of Snell & Wilmer’s Corporate Communicator to help you prepare for the upcoming annual report and proxy season. This issue highlights SEC reporting and...more

Morris James LLP

Court Of Chancery Explains The “Personal Claim” Exception To Advancement Rights

Morris James LLP on

In the area of what claims are subject to the right to have fees advanced to a former officer or director, there is no more often disputed issue than whether the claim asserted arose out of the role as an officer or director...more

Morrison & Foerster LLP

Investment Management Legal + Regulatory Update -- December 2013

Morrison & Foerster LLP on

In This Issue: Regulatory Updates - SEC Continues to Look at a Uniform Fiduciary Standard for Broker-Dealers and Investment Advisers; SEC Grants Unusual Exemptive Relief from Pay-to-Play “Time-Out” Provision;...more

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