Latest Dodd-Frank Posts
SEC Issues FAQs on Compensation Plan Proposals Included in Proxy Statements
Employment, Executive Compensation, Public Companies and Securities The SEC has issued a series of frequently asked questions, which in SEC speak are referred to as Compliance and Disclosures Interpretations (or C&DIs for short), on proxy statements and proxy solicitations. In general the C&DIs replace previously issued telephone interpretations, but the lead in notes where substantive changes have been made. For those who have […] Read more →
Longfin, Rule 144 and Affiliate Status
Litigation, Public Companies and Securities The United States District Court for the Southern District of New York recently issued an opinion granting a preliminary injunction with respect to alleged Section 5 violations by... Read more →
SEC Proposed Interpretive Guidance for Investment Advisers: Implications for Private Equity
Investment Advisers, M&A The SEC’s recent proposed guidance for investment advisers has implications for private equity sponsors. Perhaps the most important part of the guidance for private equity... Read more →
Yahoo/Altaba Agree to $35 Million SEC Penalty for Failure to Disclose Massive Security Breach
Litigation, Public Companies and Securities In perhaps the SEC’s first major shot across the bow, Yahoo (now known as Altaba) has agreed to pay the SEC $35 million for failure to disclose a massive security breach to its... Read more →