On March 27, 2025, the US Senate Committee on Banking, Housing, and Urban Affairs (the “Committee”) convened in an open session to consider the nomination of Paul Atkins as Chair of the Securities and Exchange Commission...more
The current proxy season presents new challenges and opportunities for U.S. companies as they face shifting expectations regarding board diversity. There are a number of notable developments. The Fifth Circuit Court of...more
This Legal Update summarizes the US Securities and Exchange Commission’s 2025 calendar year filing deadlines and financial statement staleness dates....more
The Director of the SEC’s Division of Corporation Finance (the “Division”), Erik Gerding, shared his views on the state of public company disclosures during 2023 and the SEC Staff’s review priorities for 2024. The statements...more
On April 18, 2018, the Securities and Exchange Commission (SEC) introduced a package of proposals aimed at enhancing the quality and transparency of investors’ relationships with investment advisers and broker-dealers. The...more
6/25/2018
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Broker-Dealer ,
Conflicts of Interest ,
Disclosure Requirements ,
Duty of Care ,
Fiduciary Duty ,
Investment Adviser ,
Investment Products ,
Proposed Rules ,
Retail Investors ,
Securities ,
Securities and Exchange Commission (SEC)