General Securities Law News & Updates

The United States Department of Labor (“DOL”) has had a very active summer regulating the securities industry. Yes, you heard it right, the DOL has made certain pronouncements that have
Continue Reading The DOL: The New Securities Regulator?

As proxy season approaches for a number of public companies, the Securities and Exchange Commission (SEC) and certain state authorities have taken steps to revise their current corporation laws or
Continue Reading SEC and States Provide Relief for Upcoming Proxy Season Due to COVID-19

We wanted to announce that Ernie Badway has taken over the authorship of Chapter 7, Proxy Regulation, in Lexis-Nexis Matthew Bender’s Federal Securities Exchange Act of 1934 treatise: https://store.lexisnexis.com/products/federal-securities-exchange-act-of-1934-skuusSku10509.  His
Continue Reading Ernie Badway to Author Chapter on Proxy Regulation for Lexis-Nexis

For those interested in a description of the DOJ’s new corporate resolution policy, we strongly urge you to review our partner, Matt Lee’s, recent posting on this topic.  See https://www.foxrothschild.com/white-collar-compliance-defense/publications/the-justice-departments-new-corporate-resolution-policy-an-end-to-piling-on/.
Continue Reading Matt Lee Authors Excellent Post on the DOJ’s New Corporate Resolution Policy