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 considerable effect on the securities industry.
Initially, the DOL allowed 401(k) plans to invest in private equity funds so long as they are managed by
By Jesse Fishman and Laura Holm
In Quarterly Reports on Form 10-Q, companies are required to disclose any material changes to risk factors that were included in their most recent Annual Report on Form 10-K. Many companies do not update risk factors in their first quarter 10-Q filing because no material changes have occurred since
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 provide guidance for companies regarding the conduct of annual shareholder meetings in light of the COVID-19 outbreak. The SEC has provided relief for companies seeking
We wanted to invite everyone to attend the below webinar:
|
A few weeks ago as this crisis began to take shape, we indicated it would be a good idea to dust off the old business interruption policies. In response to some queries, we wanted to add to our discussion.
Regardless of anyone’s (including your insurance broker) belief, you should still make the claim on the
With the chaos of the past week– and it is going to get worse before better– firms should check on their insurance coverage.
Most firms should check to see if there business interruption coverage is up to date. This is a critical component of their business operations. If things get worse and there are widespread
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 work will be available on November 26, 2018, just in time for the holiday season!
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/.
Although not a securities topic per se (however, a number of companies are popping up and offering securities in this field), our very own Josh Horn was featured on TV regarding medical marijuana. View the clip here.