insights+Analyses Published

We're attuned to (often ahead of) the key issues facing the market. It's about arming investors, consumers, and businesses with the information they need to make sound decisions.
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Investor Alert: The Rapid Collapse of Cryptocurrency Platform FTX and the Alleged Fraud its Founder Samuel Bankman-Fried Perpetrated on his Customers and Investors

On December 12, 2022, accelerating an already profound and precipitous fall from grace, law enforcement authorities in The Bahamas arrested Samuel ...

Tuesday, December 27, 2022

by Michael P. Canty, James M. Fee

Investor Alert: SEC Amendments to Rule 10b5-1 Insider Trading Plans and Related Disclosures

On December 14, 2022, the Securities and Exchange Commission (“SEC”) unanimously adopted amendments to Rule 10b5-1 under the Securities Exchange Act ...

Tuesday, December 20, 2022

by Eric J. Belfi and Charles J. Stiene

Investor Alert: DOL Final Rule on Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights

On November 22, 2022, the U.S. Department of Labor (“DOL”) issued a final rule under the Employee Retirement Income Security Act (“ERISA”) regarding ...

Tuesday, December 6, 2022

by Thomas G. Hoffman Jr., Guillaume Buell, Charles Wood

Investor Alert: SEC Proxy Voting Disclosure Rules Aid Investors

On November 2, 2022, the U.S. Securities and Exchange Commission (“SEC”) adopted rule 14Ad-1 under the Securities Exchange Act of 1934 (the “Exchange ...

Wednesday, November 9, 2022

by Domenico Minerva, Philip J. Leggio

Investor Alert: SEC’s Amendment to Proxy-Advisory Rules a Win for Voting Independence of Institutional Investors

On July 13, 2022, the Securities and Exchange Commission voted to adopt amendments to its rules governing proxy-voting advice,1 voting to partially ...

Friday, July 22, 2022

by Domenico Minerva, David Saldamando

Investor Alert: SEC Issues Proposed Rule Changes Addressing Climate-Related Information Disclosure to Investors

On March 21, 2022, following a party-line, 3-1 vote, the U.S. Securities and Exchange Commission (“SEC” or the “Commission”) released a series of ...

Tuesday, March 29, 2022

by Eric J. Belfi, James M. Fee
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