The Marketplace of Ideas: Should the SEC change the rules on blockholder disclosure?

The CLS Blue Sky Blog presents Part II of the third installment of our series, “The Marketplace of Ideas.” Earlier installments on different topics are available here and hereThe intent is to present different perspectives on the same Read more

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Editor's Tweet: The Marketplace of Ideas: Rethinking the Disclosure of Beneficial Ownership under Section 13(d) Part II
Peter Reilly

Ralph Lauren, Transnational Bribery, and Voluntary Disclosure Under the Foreign Corrupt Practices Act: When is it Strategically Wise (or Not) to Self-Report FCPA Violations to the SEC?

The following post comes to us from Peter R. Reilly, Associate Professor of Law, Texas A&M School of Law and is based on his paper, “Ralph Lauren, Transnational Bribery, and Voluntary Disclosure Under the Foreign Corrupt Practices Act: When is Read more

Davis Polk discusses SEC Approval of New FINRA Supervision Rules

The following post is based on a memo originally published by Davis Polk & Wardwell on January 8, 2014. The original publication is available here.

Financial Industry Regulatory Authority (“FINRA”) rules require broker-dealer members to establish and maintain a … Read more

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Editor's Tweet: Davis Polk discsuses SEC Approval of New FINRA Supervision Rules

Commissioner Gallagher discusses Renewed SEC Priorities

The following remarks were delivered by Commissioner Daniel M. Gallagher of the U.S. Securities and Exchange Commission in Orange County, California at the Forum for Corporate Directors on January 24, 2014.  A copy of the speech is also available hereRead more

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Editor's Tweet: Commissioner Gallagher discusses Renewed SEC Priorities

Ropes & Gray on Trade Execution Mandate for Certain Interest Rate Swaps

The Commodity Futures Trading Commission (“CFTC”) Division of Market Oversight (the “Division”) announced yesterday that Javelin SEF, LLC’s (“Javelin”) self-certification of available-to-trade determinations (“MAT Determinations”) for certain benchmark interest rate swap contracts is deemed certified. Under CFTC regulations, the swaps … Read more