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On November 17, 2021, the Securities and Exchange Commission (SEC) adopted rule and form amendments to the proxy rules, requiring the use of a “universal proxy card” in director...
The SEC published final rules in late August 2022 that will require new pay versus performance disclosure in 2023 proxy statements, as described in our earlier client alert. These rules...
U.S. Securities and Exchange Commission complaint provides a preview of what future Reg BI suits might entail and pursues individual registered representatives for Reg BI violation. FINRA reports on use of fine money, and updates on arbitrator selection Process
On June 15, 2022, the Securities and Exchange Commission (“SEC”) filed a complaint in the U.S. District Court for the Central District of California against registered broker-dealer...
Congress - U.S. House of Representatives - Committee on Small Business - Committee Holds Hearing on Oversight of SBA Office in Charge of Loan...