In this issue:
- Oregon State Court Refuses to Enforce Forum Selection Bylaw
- SEC Announces Pilot Program to Widen Tick Sizes for Smaller Companies
- NFA Issues Notice Setting Effective Date for Risk...more
9/2/2014
/ Arbitration ,
Attorney's Fees ,
CFTC ,
Compliance ,
Confidentiality Agreements ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Forum Selection ,
Mandatory Arbitration Clauses ,
NFA ,
Restrictive Covenants ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Shareholder Litigation ,
Shareholders ,
Small Business
In this issue:
- ISS Launches New Equity Plan Data Verification Portal
- ISDA Publishes Protocol for 2014 Credit Derivatives Definitions
- FinCEN Issues Advisories for US Financial Institutions
-...more
8/25/2014
/ CFTC ,
Class Action ,
Class Certification ,
Compliance ,
Contests & Promotions ,
Derivatives ,
EMIR ,
Equity Plans ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
FinCEN ,
Fraud ,
Institutional Shareholder Services (ISS) ,
ISDA ,
Judge Rakoff ,
OCC ,
Rule 10(b) ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
SEFs ,
Social Media ,
Swap Dealers ,
Swaps
On November 20, 2013, US District Judge Paul G. Gardephe of the US District Court for the Southern District of New York issued a decision with potentially significant consequences for attorneys conducting internal...more
On September 30, 2013, the US Securities and Exchange Commission (SEC) Division of Trading and Markets issued Frequently Asked Questions (FAQs) in an effort to provide guidance regarding potential supervisory liability of...more