Developments in Securities Regulation, Corporate Governance, Capital Markets, M&A and Other Topics of Interest. MORE
Public Companies and Securities
SEC Requests Comment on Credit Rating Standardization Study
By Steve Quinlivan on
Say-on-Pay Proposals–Week of December 12th
By Jill Radloff on
What Directors and Public Companies Need to Know About the End-User Swap Exception
By Steve Quinlivan on
SEC Proposes Rules on Conflicts Minerals, Mine Safety and Resource Extraction
By Steve Quinlivan on
SEC Proposes End-User Requirements Under Dodd-Frank Act for Security-Based Swaps Exempt From Mandatory Clearing
By Steve Quinlivan on
CFTC Adopts Interim Final Rule Regarding Reporting of Post-Enactment Swap Transactions
By Steve Quinlivan on
Say-on-Pay Examples and Thoughts and Observations
By Steve Quinlivan on
CFTC to Address End User Exception December 9
By Steve Quinlivan on
Newly Effective Rule 6490 Gives FINRA a Larger Role in Advance Notifications
By David Jenson on