As discussed in our previous alerts, over the past several weeks, the Securities and Exchange Commission (the SEC) and its staff (the Staff) have provided guidance and targeted, conditional, and temporary relief to investment...more
On March 25, 2020, the United States Securities and Exchange Commission (SEC) issued a new order (the Order) and guidance (the Guidance) which continued to provide regulatory relief to public companies whose operations may be...more
As discussed in our prior alert, on March 4, 2020, the Securities and Exchange Commission (SEC) Division of Investment Management extended the no-action position expressed in its 2019 no-action letter to the Independent...more
The SEC adopted Guidance that discusses, among other matters, the ability of investment advisers to establish a variety of different voting arrangements with their clients and matters they should consider when they use the...more
10/1/2019
/ Corporate Governance ,
Duty of Care ,
Duty of Loyalty ,
Financial Services Industry ,
Interpretive Rule ,
Investment Adviser ,
Investment Management ,
New Guidance ,
Proxy Advisors ,
Proxy Season ,
Proxy Voting Guidelines ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC)
On August 8, 2019, the Securities and Exchange Commission (the SEC) voted to propose rule amendments to modernize the description of business, legal proceedings, and risk factor disclosures that public companies are required...more
8/16/2019
/ Corporate Governance ,
Disclosure Requirements ,
Financial Regulatory Reform ,
Publicly-Traded Companies ,
Registration Statement ,
Regulation S-K ,
Regulatory Agenda ,
Regulatory Oversight ,
Regulatory Requirements ,
Reporting Requirements ,
Rulemaking Process ,
Securities and Exchange Commission (SEC)