Continue Reading SEC Staff Permits Exclusion of Some but Not All Shareholder Proxy Access Proposals
Conflict Minerals Rules Expected Mid-Year
Meet Your Swap Dealer
SEC Issues Small Entity Compliance Guide on “Accredited Investor” Standard
CFPB Begins Taking Complaints on Bank Accounts
Disney at Odds With ISS Again
Proposed Red Flags Rules Jointly Announced by the SEC and CFTC
SEC Commissioner Addresses Liability of Investment Adviser Legal and Compliance Officers
CFTC Issues Final Internal Business Conduct Rules for Swap Dealers—Commissioners O’Malia and Sommers Are Not Impressed