More Securities & Exchange Commission (SEC) Articles

Finance

CFTC Adopts Final Business Conduct Standards For Swap Dealers And Major Swap Participants

The Commodity Futures Trading Commission recently adopted final rules[1] regarding the business conduct standards with which swap dealers (“SDs”) and major swap participants (“MSPs”) must comply when entering into swaps with counterparties or advising clients regarding...

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Finance

Book Review: Indispensable Counsel: The Chief Legal Officer In The New Reality

There’s an old saying: “Out with the old, and in with the new.” "Indispensable Counsel" suggests a new turn of this old phrase for corporate law practitioners, jurists, educators, students, and anyone interested to learn about this dynamic field of law: Authors E...

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Finance

Questions To Ask When Your Director Or Executive Officer Wants To Join Another Board

Introduction Counsel for public companies are often asked to assist in vetting new candidates for a board of directors. Just as important is reviewing the issues that arise when a current director or executive officer (the candidate) of a public company (Company A) is asked to join the board of...

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