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Category: Securities Law
Jim Hamilton\'s World of Securities Regulation - February 04, 2012
UK Prime Minister David Cameron has rejected a Labor Party proposal that an ordinary employee sit on a company board compensation committee, noting that having an employee on the committee would break an important principle of not having people on a remuneration committee who will have their own ...
Jim Hamilton\'s World of Securities Regulation - February 04, 2012
The Shareholder Communications Coalition has asked the SEC to erect a regulatory framework for firms providing proxy advisory services to institutional investors in connection with annual or special shareholder meetings. The Coalition is composed of the Business Roundtable, National Investor ...
The 10B-5 Daily - February 03, 2012
The Morrison decision limiting the extraterritorial application of the U.S. securities laws continues to be the subject of extensive judicial, practicioner, and academic commentary. Recent items include: (1) Professor Hannah Buxbaum has published a paper entitled "Remedies for Foreign Investors...
Jim Hamilton\'s World of Securities Regulation - February 03, 2012
Thirty-nine Republican Senators have signed a letter indicating their intent to file an amicus brief and join a court challenge to the recent recess appointment of Richard Cordr
Jim Hamilton\'s World of Securities Regulation - February 03, 2012
In light of legislative and regulatory action, as well as trends disfavoring broker voting of uninstructed shares, the NYSE will no longer continue the practice under Rule 452 of allowing member organizations to vote on corporate governance proxy proposals without specific client instructions. ...
Jim Hamilton\'s World of Securities Regulation - February 03, 2012
The Senate passed legislation barring members of Congress from profiting on inside information they obtain as part of the job and that is not readily available to the public. The vote was 96-3. The dispute over the applicability of insider trading laws to Congress centers largely on the issue of ...
Jim Hamilton\'s World of Securities Regulation - February 02, 2012
The Foreign Account Tax Compliance Act can be implemented in a way that is not overly burdensome when compared to its benefits and, over time, will serve as a complement and a catalyst to the ongoing global efforts to combat offshore tax evasion, said a senior Treasury official. In
Jim Hamilton\'s World of Securities Regulation - February 02, 2012
As mandated by Section 719(c) of the Dodd-Frank Act, the SEC and CFTC issued a joint report describing the regulatory framework for OTC derivatives in the Americas, European Union, and Asia, and analyzing the similarities an
Jim Hamilton\'s World of Securities Regulation - February 02, 2012
The Municipal Securities Rulemaking Board urged the federal financial regulators implementing the Dodd-Frank Volcker Rule provisions to broaden the governmental obligations exemption from the proposed regulations restriction on proprietary trading to include all municipal securities as defined in ...
Jim Hamilton\'s World of Securities Regulation - February 02, 2012
The Obama Administration strongly supports Senate passage of S. 2038, which clarifies that Members of Congress and staff may not engage in insider trading. In a Statement of Policy, the Admini
DealLawyers.com - February 02, 2012
Transcript: "Activist Profiles and Playbooks"
We have posted the transcript for the webcast: "Activist Profiles and Playbooks."
Jim Hamilton\'s World of Securities Regulation - February 01, 2012
A senior UK Minister is concerned that the proposed regulations implementing the Dodd-Frank Volcker Rule provisions would impact adversely impact the liquidity of global funding markets and particularly non-US sovereign debt markets. In a
Jim Hamilton\'s World of Securities Regulation - February 01, 2012
FIN 48, a FASB accounting standards interpretation intended to increase relevance and comparability in financial reporting information about income tax uncertainties, generally achieves that purpose, although some stakeholders believe the standard could be improved. The broad consensus is that, on ...
Jim Hamilton\'s World of Securities Regulation - February 01, 2012
Pursuant to the Dodd-Frank Act, a mid-sized adviser with between $25 million and $100million assets under management must, after July 21, 2011, must register with the SEC if it is not required to be registered as an adviser with the state securities authority in the state where it maintains its ...
DealLawyers.com - February 01, 2012
The Problems with Pro Ratas
Here is an excerpt from Shareholder Representative Services' new 3rd Edition of "Tales from the M&A; Trenches":
Many shareholders think that when you sell a company, each security holde
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