News & Analysis as of

Mandatory Arbitration Clauses Securities and Exchange Commission (SEC)

Holland & Knight LLP

Holland & Knight's China Practice Newsletter: May-June 2022

Holland & Knight LLP on

Holland & Knight invites you to read our China Practice Newsletter, in which our authors discuss pertinent Sino-American topics. HIGHLIGHTS: ..SEC Releases Proposal to Enhance Disclosures for SPACs and De-SPAC...more

Bressler, Amery & Ross, P.C.

The Tide Rises: Will Biden’s Blue Wave Wash Away Mandatory Arbitration?

Congressional rumblings about outlawing mandatory arbitration clauses are relatively common, but they have not been successful. Ever since a hard-won battle in the 1980s, the industry has been calling the shots about where...more

Parker Poe Adams & Bernstein LLP

NLRB Says Arbitration Agreement Must Specifically Exclude Claims Filed With NLRA

In its decision last term in Epic Systems Corp. V. Lewis, the U.S. Supreme Court concluded that the National Labor Relations Act does not preclude the use of mandatory arbitration agreements in employment which prevent class...more

Cooley LLP

Blog: Mandatory arbitration shareholder proposal goes to court—as Chair Clayton suggested

Cooley LLP on

You might remember this no-action letter to Johnson & Johnson granting relief to the company if it relied on Rule 14a-8(i)(2) (violation of law) to exclude a shareholder proposal requesting adoption of mandatory shareholder...more

Locke Lord LLP

SEC Continues to Grapple with Mandatory Arbitration Hot Potato

Locke Lord LLP on

The Securities and Exchange Commission has again had to confront how to react to a mandatory arbitration provision that would have the effect of denying investors the ability to pursue federal securities law claims as a class...more

Stinson - Corporate & Securities Law Blog

No Action Relief Prompts Clarification from SEC Chair on Mandatory Arbitration

In a novel sequence of events, SEC Chair Jay Clayton issued a statement on February 11, 2019 expressing the Commission’s non-view on mandatory shareholder arbitration provisions implemented by publicly-listed companies. ...more

Dorsey & Whitney LLP

Johnson & Johnson May Exclude Shareholder Proposal for Binding Arbitration on Securities Claims

Dorsey & Whitney LLP on

On February 11, 2019, the Staff of the Division of Corporation Finance granted no-action relief permitting Johnson & Johnson to omit a a shareholder proposal from its proxy statement relating to mandatory arbitration of...more

Carlton Fields

Is It Time to Revisit SEC’s Ban on “Forced” Arbitration Provisions?

Carlton Fields on

The SEC has long refused to allow companies to go public with bylaws or other governing documents that would require shareholders to arbitrate federal securities law claims against the company. ...more

Mayer Brown Free Writings + Perspectives

Mandatory Arbitration

In recent comments, Commissioner Peirce shared her views on the role of the Securities and Exchange Commission in expressing a view regarding mandatory arbitration provisions....more

Mayer Brown Free Writings + Perspectives

Coalition of State Treasurers Oppose Mandatory Arbitration

Although Securities and Exchange Commission Chair Clayton has made clear that the Commission does not intend to focus on addressing mandatory arbitration provisions in the near term, the controversy regarding action in this...more

Cooley LLP

Blog: SEC Chair Confirms Mandatory Shareholder Arbitration Provisions And Dual-Class Share Structures Not Near-Term Priorities

Cooley LLP on

Last week, at a meeting of the SEC’s Investor Advisory Committee, SEC Chair Jay Clayton delivered an opening statement, part of which addressed two governance topics of recent debate. One of the topics—dual-class share...more

Cooley LLP

Blog: You Want Mandatory Arbitration In Your Charter? Hey, Just Ask!

Cooley LLP on

This is the opening paragraph from Tuesday’s column by Alison Frankel, one of my favorite legal columnists/bloggers: “This could be the start of something huge: Securities and Exchange Commissioner Michael Piwowar said in...more

Stinson - Corporate & Securities Law Blog

SEC Commissioner Supports Mandatory Shareholder Arbitration

Reuters is reporting that SEC Commissioner Michael Piwowar urged IPO companies to request relief from the SEC to include mandatory arbitration provisions for shareholder disputes. Commissioner Piwowar apparently made the...more

Clark Hill PLC

Window on Washington - This Week in the Nation's Capital - Vol. 1, Issue 17

Clark Hill PLC on

EPA Appropriations Bill: A House appropriations bill for fiscal year 2018 would trim the budget of the Environmental Protection Agency by $500 million, as opposed to the $2.6 billion cut requested by the White House. The...more

Proskauer - Whistleblower Defense

Federal Court Compels Arbitration of Dodd-Frank Whistleblower Claim

In a recent decision, the U.S. District Court for the Western District of Wisconsin held that Dodd-Frank whistleblower claims (Section 922 claims) are subject to mandatory arbitration. Wussow v. Bruker Corp., No....more

Goodwin

Financial Services Weekly News - July 2017

Goodwin on

Editor's Note - Fireworks After the July 4th Holiday. On July 10, the Consumer Financial Protection Bureau (CFPB) issued the highly anticipated final Arbitration Rule, which prohibits the use of mandatory arbitration...more

Carlton Fields

CFPB Grabs for SEC/CFTC Turf

Carlton Fields on

In May, the Consumer Financial Protection Bureau (CFPB) proposed a ban on “mandatory arbitration” contract clauses that make financial products consumers waive their right to join class actions. Broker-dealers,...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week in Review

CFPB Proposes Prohibition on Mandatory Consumer Arbitration Clauses - On May 5, 2016, the Consumer Financial Protection Bureau (CFPB) issued and sought comment on proposed rules prohibiting mandatory arbitration clauses...more

Stoel Rives LLP

In Case You Missed It - Interesting Items for Corporate Counsel - May 2016

Stoel Rives LLP on

The SEC, along with the Department of the Treasury, the Federal Reserve System, the Federal Deposit Insurance Corporation, the Federal Housing Finance Agency, and the National Credit Union Administration, proposed a joint...more

Manatt, Phelps & Phillips, LLP

Retail and Consumer Products Law Roundup - November 2015

We are pleased to share with you the first issue of Manatt's Retail and Consumer Products Law Roundup. The newsletter will be published on a monthly basis and will survey topics of critical importance to the retail,...more

Goodwin

Financial Services Weekly News - October 2015

Goodwin on

Regulatory Developments - FINRA Files Proposed Rule Change to Apply Markup Rule to Government Securities: On Sept. 30 FINRA filed with the SEC a proposed rule change, published in the Federal Register on Oct. 6, to...more

Manatt, Phelps & Phillips, LLP

Employment Law - September 2015

From the California Legislature: New Employment Laws, Bills Set for Signature: Why it matters - The California Legislature has been busy with employment-related bills, passing measures to provide additional...more

Epstein Becker & Green

Ban on Mandatory Employment Arbitration Agreements Passed by California Legislature

On August 27, 2015, the California Legislature passed AB 465, a bill that would make mandatory agreements to arbitrate employment disputes illegal in the state. Governor Jerry Brown has until October 11, 2015, to sign...more

Proskauer - Corporate Defense and Disputes

Petrobras Shareholders’ Brazilian-Law Claims Are Subject to Mandatory Arbitration Provision

The travails of Petrobras have generated a lot of attention – and litigation – in the past year. On July 30, 2015, District Judge Jed Rakoff, of the Southern District of New York, issued an opinion explaining his prior order...more

Carlton Fields

Expect Focus - ONLINE HEALTH CARE: NOT SO FAST Telemedicine Hits A Few Speed Bumps, Volume II, Spring 2015

Carlton Fields on

In This Issue: - IN THE SPOTLIGHT • Risky Business: Common Cyber Security Risks, Expensive Consequences - LIFE INSURANCE • Ninth Circuit Finds Bonus Indexed Annuity Delivers Exactly...more

26 Results
 / 
View per page
Page: of 2

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide