Publications

• Supreme Court Holds That “Pure Omissions” Are Not Actionable Under Rule 10b-5(b)
  12 April 2024
  Elliot Greenfield
  ,
  Matthew E. Kaplan
  ,
  Maeve O'Connor
  ,
  Benjamin R. Pedersen
  ,
  Jonathan R. Tuttle
  ,
  Anna Moody
  ,
  Brandon Fetzer
  ,
  Mark D. Flinn
• Insider Trading & Disclosure Update - Special Issue
  April 2024
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Benjamin R. Pedersen
  ,
  Anna Moody
  ,
  Bailey K. Crawford
  ,
  Mark D. Flinn
  ,
  Berk Guler
  ,
  Ashley Yoon
• The FDIC’s Proposed Bank Merger Guidance: Proposing a Perilous Path for Large Bank (and Nonbank) Merger Transactions
  27 March 2024
  Gregory V. Gooding
  ,
  Ted Hassi
  ,
  Morgan J. Hayes
  ,
  Matthew E. Kaplan
  ,
  Gregory J. Lyons
  ,
  Benjamin P. Collins-Wood
  ,
  Tejas N. Dave
  ,
  Clare K. Lascelles
  ,
  Alexandra N. Mogul
  ,
  Adam C. Saunders
  ,
  Gabriela Urias
• OCC Releases Notice of Proposed Rulemaking on Bank Mergers
  1 February 2024
  Gregory V. Gooding
  ,
  Ted Hassi
  ,
  Matthew E. Kaplan
  ,
  Gregory J. Lyons
  ,
  Tejas N. Dave
  ,
  Clare K. Lascelles
  ,
  Alexandra N. Mogul
• 10 Things Insurance Companies Should Be Thinking About in 2024
  10 January 2024
  Eric Dinallo
  ,
  Marilyn A. Lion
  ,
  Nicholas F. Potter
  ,
  Alexander R. Cochran
  ,
  E. Drew Dutton
  ,
  Avi Gesser
  ,
  David Grosgold
  ,
  Andrew G. Jamieson
  ,
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Erez Liebermann
  ,
  Kristen A. Matthews
• Insider Trading & Disclosure Update - Vol. 10
  December 2023
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Benjamin R. Pedersen
  ,
  Anna Moody
  ,
  Mark D. Flinn
  ,
  Ashley Yoon
  ,
  Berk Guler
  ,
  Mie Morikubo
  ,
  Alexander R. Altieri
  ,
  Bailey K. Crawford
  ,
  Samuel Siegel
• FASB Updates Requirements for Segment Reporting Disclosures
  15 December 2023
  Matthew E. Kaplan
  ,
  Benjamin R. Pedersen
  ,
  Michael Pan
  ,
  Ashley Yoon
  ,
  Andrew Hong
• NYU PCCE: Hackers Turned Whistleblowers: SEC Cybersecurity Rules Weaponized Over Ransom Threat
  29 November 2023
  NYU PCCE
  Andrew J. Ceresney
  ,
  Charu A. Chandrasekhar
  ,
  Luke Dembosky
  ,
  Avi Gesser
  ,
  Matthew E. Kaplan
  ,
  Erez Liebermann
  ,
  Benjamin R. Pedersen
  ,
  Steven J. Slutzky
  ,
  Jonathan R. Tuttle
  ,
  Matt Kelly
  ,
  Kelly Donoghue
• Instruments to Satisfy Proposed Bank Capital and Long-Term Debt Requirements
  29 November 2023
  Morgan J. Hayes
  ,
  Matthew E. Kaplan
  ,
  Joshua M. Samit
  ,
  Chen Xu
  ,
  Alexander R. Altieri
  ,
  Ezra Newman
  ,
  Taylor Richards
  ,
  Jonathan Steinberg
• Hackers Turned Whistleblowers: SEC Cybersecurity Rules Weaponized Over Ransom Threat
  20 November 2023
  Andrew J. Ceresney
  ,
  Charu A. Chandrasekhar
  ,
  Luke Dembosky
  ,
  Avi Gesser
  ,
  Matthew E. Kaplan
  ,
  Erez Liebermann
  ,
  Benjamin R. Pedersen
  ,
  Steven J. Slutzky
  ,
  Jonathan R. Tuttle
  ,
  Matt Kelly
  ,
  Kelly Donoghue
• CLS Blue Sky Blog: Debevoise & Plimpton Discusses Fifth Circuit Decision to Uphold Nasdaq Board Diversity Rule
  31 October 2023
  CLS Blue Sky Blog
  Matthew E. Kaplan
  ,
  William D. Regner
  ,
  Simone S. Hicks
  ,
  Ashley Yoon
  ,
  Andrew Hong
• CLS Blue Sky Blog: Debevoise Discusses Supreme Court Case on Whether a Private Right of Action Exists for Deficient MD&A
  23 October 2023
  CLS Blue Sky Blog
  Matthew E. Kaplan
  ,
  Maeve O'Connor
  ,
  Jonathan R. Tuttle
  ,
  Benjamin R. Pedersen
  ,
  Anna Moody
• Fifth Circuit Upholds Nasdaq Board Diversity Rule
  20 October 2023
  Simone S. Hicks
  ,
  Matthew E. Kaplan
  ,
  William D. Regner
  ,
  Ashley Yoon
  ,
  Andrew Hong
• Insider Trading Disclosure Update - Special Issue
  October 2023
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Benjamin R. Pedersen
  ,
  Anna Moody
  ,
  Maeve O'Connor
  ,
  Bailey K. Crawford
  ,
  Mark D. Flinn
  ,
  Emma V. Hauber
  ,
  Berk Guler
  ,
  Ashley Yoon
• SEC Amends Section 13 Reporting Requirements
  12 October 2023
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Benjamin R. Pedersen
  ,
  Nicholas P. Pellicani
  ,
  Marc Ponchione
  ,
  William D. Regner
  ,
  Jeff Robins
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Chris Gallucci
  ,
  Ashley Yoon
• NYSE Proposes Relaxed Shareholder Approval Requirements for Sales to Substantial Security Holders
  9 October 2023
  Morgan J. Hayes
  ,
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Paul M. Rodel
  ,
  Talia Lorch
• SEC Releases New and Updated Guidance on Amended Rule 10b5-1
  29 August 2023
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Benjamin R. Pedersen
  ,
  Nicholas P. Pellicani
  ,
  Amy Pereira
  ,
  Chris Duff
• Insurance Industry Attracts Activists
  15 August 2023
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Marilyn A. Lion
  ,
  Kristen A. Matthews
  ,
  Nicholas F. Potter
  ,
  William D. Regner
  ,
  Samuel Siegel
• SEC Adopts New Cybersecurity Rules for Issuers – Part 2 Key Takeaways
  7 August 2023
  Charu A. Chandrasekhar
  ,
  Luke Dembosky
  ,
  Avi Gesser
  ,
  Matthew E. Kaplan
  ,
  Erez Liebermann
  ,
  Benjamin R. Pedersen
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Matt Kelly
  ,
  Kelly Donoghue
  ,
  John Jacob
  ,
  Amy Pereira
  ,
  Ned Terrace
  ,
  Mengyi Xu
  ,
  Chris Duff
• 2023 Proxy Season in Review
  1 August 2023
  Gregory V. Gooding
  ,
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Maeve O'Connor
  ,
  William D. Regner
  ,
  Jeffrey J. Rosen
  ,
  Marisa Demko
• NYU Compliance & Enforcement: SEC Adopts New Cybersecurity Rules for Issuers
  31 July 2023
  NYU Compliance & Enforcement
  Charu A. Chandrasekhar
  ,
  Luke Dembosky
  ,
  Avi Gesser
  ,
  Matthew E. Kaplan
  ,
  Erez Liebermann
  ,
  Benjamin R. Pedersen
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Matt Kelly
  ,
  Kelly Donoghue
  ,
  John Jacob
  ,
  Amy Pereira
  ,
  Mengyi Xu
  ,
  Chris Duff
• Insider Trading & Disclosure Update - Alert
  July 2023
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Benjamin R. Pedersen
  ,
  Anna Moody
  ,
  Bailey K. Crawford
  ,
  Mark D. Flinn
  ,
  Ashley Yoon
  ,
  Berk Guler
• SEC Adopts New Cybersecurity Rules for Issuers
  27 July 2023
  Charu A. Chandrasekhar
  ,
  Luke Dembosky
  ,
  Avi Gesser
  ,
  Matthew E. Kaplan
  ,
  Erez Liebermann
  ,
  Benjamin R. Pedersen
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Matt Kelly
  ,
  Kelly Donoghue
  ,
  John Jacob
  ,
  Amy Pereira
  ,
  Mengyi Xu
  ,
  Chris Duff
• SEC Declines to Submit Amicus Brief Regarding Status of Syndicated Term Loans as Securities
  19 July 2023
  Paul D. Brusiloff
  ,
  Matthew E. Kaplan
  ,
  Benjamin R. Pedersen
  ,
  Jonathan R. Tuttle
  ,
  Anna Moody
  ,
  Bailey K. Crawford
• Insider Trading Disclosure Update - Special Issue
  June 2023
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Benjamin R. Pedersen
  ,
  Anna Moody
  ,
  Mark D. Flinn
  ,
  Ashley Yoon
  ,
  Berk Guler
• Tight Credit Provides Opportunity to Utilize P-CAPs Facilities
  14 June 2023
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Beatrice K. Techawatanasuk
• Harvard Forum on Corporate Governance: Insider Trading Disclosure Update: Rulemaking Activity
  12 June 2023
  Harvard Forum on Corporate Governance
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Benjamin R. Pedersen
  ,
  Anna Moody
  ,
  Mark D. Flinn
  ,
  Ashley Yoon
  ,
  Jordana Palgon
  ,
  Michael Pan
  ,
  Berk Guler
  ,
  Candice N. Jones
  ,
  Bailey K. Crawford
• Supreme Court’s Slack Technologies Decision Clarifies Application of Section 11 to Direct Listings
  1 June 2023
  Elliot Greenfield
  ,
  Matthew E. Kaplan
  ,
  Maeve O'Connor
  ,
  Steven J. Slutzky
  ,
  Morgan A. Davis
• Compliance & Enforcement: SEC Adopts Share Repurchase Disclosure Rules
  19 May 2023
  Compliance & Enforcement
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Nicholas P. Pellicani
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Jonathan R. Tuttle
  ,
  Charu A. Chandrasekhar
• Insider Trading Disclosure Update - Vol. 9
  May 2023
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Benjamin R. Pedersen
  ,
  Anna Moody
  ,
  Mark D. Flinn
  ,
  Ashley Yoon
  ,
  Jordana Palgon
  ,
  Michael Pan
  ,
  Berk Guler
  ,
  Candice N. Jones
  ,
  Bailey K. Crawford
• SEC Adopts Share Repurchase Disclosure Rules
  12 May 2023
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Nicholas P. Pellicani
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Jonathan R. Tuttle
  ,
  Charu A. Chandrasekhar
• LDTI Disclosures Are Here. Are You Ready?
  17 February 2023
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Marilyn A. Lion
  ,
  Benjamin R. Pedersen
• Considerations for a Possible Debt Ceiling Standoff
  2 February 2023
  Jonathan Adler
  ,
  Jennifer L. Chu
  ,
  Erin Cleary
  ,
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Jeffrey J. Rosen
  ,
  Scott B. Selinger
• Financing a Separation Transaction: Optimizing the New SeparationCo Capital Structure
  12 January 2023
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Benjamin R. Pedersen
  ,
  Ramya S. Tiller
• Potential Bylaw Amendments in Light of Universal Proxy Rules
  9 January 2023
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Benjamin R. Pedersen
  ,
  William D. Regner
  ,
  Steven J. Slutzky
  ,
  Sarah R. Jacobson
• Frequently Asked Questions: Universal Proxy and Contested Director Elections
  14 December 2022
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Benjamin R. Pedersen
  ,
  William D. Regner
  ,
  Jeffrey J. Rosen
  ,
  Steven J. Slutzky
  ,
  Sarah R. Jacobson
  ,
  Chika Ojukwu
• AT&T Settles Long-Running Regulation FD Case with SEC
  6 December 2022
  Andrew J. Ceresney
  ,
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Benjamin R. Pedersen
  ,
  Julie M. Riewe
  ,
  Austin Poon
• SEC Staff Delays Enforcement of New Public Information Requirements for the Quotation of Fixed-Income Securities
  30 November 2022
  Matthew E. Kaplan
  ,
  Jeff Robins
  ,
  Paul M. Rodel
  ,
  Jeffrey E. Ross
  ,
  Steven J. Slutzky
  ,
  Joshua M. Samit
  ,
  John Jacob
• New Public Information Requirements for the Quotation of Fixed-Income Securities
  10 November 2022
  Matthew E. Kaplan
  ,
  Jeff Robins
  ,
  Paul M. Rodel
  ,
  Jeffrey E. Ross
  ,
  Steven J. Slutzky
  ,
  Joshua M. Samit
  ,
  John Jacob
• Westlaw: Thoughts on financing and capital solutions for insurance companies
  19 October 2022
  Westlaw
  Matthew E. Kaplan
  ,
  Eric T. Juergens
  ,
  Marilyn A. Lion
  ,
  Daniel Priest
• Insider Trading Disclosure Update - Vol. 8
  September 2022
  Matthew E. Kaplan
  ,
  Benjamin R. Pedersen
  ,
  Jonathan R. Tuttle
  ,
  Anna Moody
  ,
  Katherine Cappeller
  ,
  Mark D. Flinn
  ,
  Berk Guler
  ,
  Austin Poon
  ,
  Ashley Yoon
• Thoughts on Financing and Capital Solutions for Insurance Companies
  16 September 2022
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Marilyn A. Lion
  ,
  Peter J. Loughran
  ,
  Daniel Priest
  ,
  Joshua M. Samit
  ,
  Sabrina Y. Hsieh
  ,
  Paulina Stanfel
• Shareholder Climate Activism Comes for 401(k) Plans: Lessons Learned from Amazon and Comcast
  9 June 2022
  Lawrence K. Cagney
  ,
  Simone S. Hicks
  ,
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Jonathan F. Lewis
  ,
  Peter J. Loughran
  ,
  Steven J. Slutzky
  ,
  Alison E. Buckley-Serfass
  ,
  Ulysses Smith
• Private Equity Report Spring 2022, Vol 22, No 1
  May 2022
  Catherine Amirfar
  ,
  Andrew L. Bab
  ,
  Megan K. Bannigan
  ,
  David H. Bernstein
  ,
  Alexander R. Cochran
  ,
  Avi Gesser
  ,
  Ted Hassi
  ,
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  M. Natasha Labovitz
  ,
  Sidney P. Levinson
  ,
  Pierre Maugüé
  ,
  Marc Ponchione
  ,
  Ina C. Popova
  ,
  Natalie L. Reid
  ,
  Julie M. Riewe
  ,
  Scott B. Selinger
  ,
  Kristin A. Snyder
  ,
  Ramya S. Tiller
  ,
  Richard Ward
  ,
  Erica S. Weisgerber
  ,
  Charu A. Chandrasekhar
  ,
  Nick S. Kaluk III
  ,
  Sheena Paul
  ,
  Christopher Rosekrans
  ,
  Jennifer Wheater
  ,
  Paul Eastham
  ,
  Christopher S. Ford
  ,
  Christine Shu Gilleland
  ,
  Michael C. Godbe
  ,
  Jessica Polebaum
  ,
  Michael R. Roberts
  ,
  Kate Saba
• The Financing Flexibility of P-Caps
  May 2022
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Beatrice K. Techawatanasuk
• Six Key Takeaways from the SEC’s Most Recent Proposed Cybersecurity Rules for Registrants
  14 March 2022
  Luke Dembosky
  ,
  Avi Gesser
  ,
  Matthew E. Kaplan
  ,
  Charu A. Chandrasekhar
  ,
  H Jacqueline Brehmer
  ,
  Michael R. Roberts
  ,
  Rebecca Zipursky
• SEC Proposes Significant Amendments to Section 13 Reporting Requirements and Deadlines
  16 February 2022
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Nicholas P. Pellicani
  ,
  Marc Ponchione
  ,
  Steven J. Slutzky
  ,
  Maayan G. Stein
• Human Capital Management Disclosure: A Reminder
  13 January 2022
  Lawrence K. Cagney
  ,
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Jonathan F. Lewis
  ,
  Peter J. Loughran
  ,
  Steven J. Slutzky
  ,
  Alison E. Buckley-Serfass
• SEC Proposes Major Amendments to Share Repurchase Disclosures
  17 December 2021
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Steven J. Slutzky
  ,
  Jonathan R. Tuttle
  ,
  Charu A. Chandrasekhar
• SEC Proposes Significant Amendments Regarding 10b5-1 Trading Plans and Augmented Trading-Related Disclosure Requirements
  16 December 2021
  Andrew J. Ceresney
  ,
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Nicholas P. Pellicani
  ,
  Steven J. Slutzky
  ,
  Jonathan R. Tuttle
  ,
  Charu A. Chandrasekhar
• Nasdaq Board Diversity Listing Rule Approved
  10 December 2021
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Steven J. Slutzky
  ,
  Mary Jo White
• SEC Staff Delays Enforcement of Amended OTC Quotation Requirements for Fixed-Income Securities
  27 September 2021
  Matthew E. Kaplan
  ,
  Joshua M. Samit
  ,
  Jonathan Steinberg
• The Compliance Deadline for the SEC’s Amended OTC Quotation Requirements Is Just Around the Corner
  17 September 2021
  Matthew E. Kaplan
  ,
  Joshua M. Samit
  ,
  Jonathan Steinberg
• NYSE Further Amends Related Party Transaction Approval Requirements
  27 August 2021
  Matthew E. Kaplan
  ,
  Nicholas P. Pellicani
  ,
  Joshua M. Samit
• SEC Approves New Nasdaq Listing Rule to Advance Diversity
  13 August 2021
  Matthew E. Kaplan
  ,
  Joshua M. Samit
• SEC Chairman Gensler Announces Review of Rules Governing Trading Plans by Insiders
  8 June 2021
  Lawrence K. Cagney
  ,
  Matthew E. Kaplan
  ,
  Jonathan F. Lewis
  ,
  Peter J. Loughran
  ,
  Steven J. Slutzky
  ,
  Nicholas P. Pellicani
• NASDAQ Follows the NYSE with Rule Changes that Permit Primary Issuances Alongside Direct Listings
  26 May 2021
  Matthew E. Kaplan
  ,
  Steven J. Slutzky
  ,
  Nicholas P. Pellicani
• NYSE Amends Related Party Transaction Approval Requirements
  25 May 2021
  Matthew E. Kaplan
  ,
  Nicholas P. Pellicani
  ,
  Joshua M. Samit
• SEC Sues AT&T and Three Executives for Selective Disclosures to Analysts
  9 March 2021
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
• Governance Round-Up Issue 12
  1 February 2021
  Matthew E. Kaplan
  ,
  Maeve O'Connor
  ,
  William D. Regner
  ,
  Jeffrey J. Rosen
  ,
  Steven J. Slutzky
  ,
  Joshua M. Samit
  ,
  Sarah R. Jacobson
  ,
  Laurah J. Samuels
• Second Circuit Set To Revisit Insider Trading Decision Post-Bridgegate
  19 January 2021
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Charu A. Chandrasekhar
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
• Columbia Law School Blue Sky Blog: Debevoise Discusses Banks and Climate-Change Initiatives
  12 January 2021
  Columbia Law School Blue Sky Blog
  David W. Rivkin
  ,
  Natalie L. Reid
  ,
  Samantha J. Rowe
  ,
  Matthew E. Kaplan
  ,
  Gregory J. Lyons
• Banks and ESG: Lessons from Climate Change-Related Initiatives
  7 January 2021
  Matthew E. Kaplan
  ,
  Gregory J. Lyons
  ,
  Natalie L. Reid
  ,
  David W. Rivkin
  ,
  Samantha J. Rowe
• SEC Approves NYSE Primary Direct Listings (Again)
  24 December 2020
  Matthew E. Kaplan
  ,
  Nicholas P. Pellicani
• The Cheesecake Factory Settles SEC’s First Enforcement Action Against a Public Company for Misleading COVID-19 Disclosures Regarding Financial Impact of the Pandemic
  8 December 2020
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Matthew E. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Charu A. Chandrasekhar
  ,
  Mark D. Flinn
• Recent U.S. Developments, Including Passage of Holding Foreign Companies Accountable Act, Signal Harder Stance with China
  7 December 2020
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Gareth Hughes
  ,
  Matthew E. Kaplan
  ,
  Satish M. Kini
  ,
  Peter J. Loughran
  ,
  Jonathan R. Tuttle
  ,
  Philip Rohlik
  ,
  Tingting Wu
• Insider Trading Disclosure Update - Vol. 7
  November 2020
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Morgan J. Hayes
  ,
  Steven J. Slutzky
  ,
  Mark D. Flinn
  ,
  Benjamin R. Pedersen
• SEC Amends And Updates Shareholder Proposal Submission Requirements Under Rule 14a-8
  7 October 2020
  Matthew E. Kaplan
  ,
  Paul M. Rodel
  ,
  Joshua M. Samit
• Compliance & Enforcement: SEC Brings Enforcement Action Against Investment Adviser for Section 13 Beneficial Ownership Reporting Failures
  23 September 2020
  Compliance & Enforcement
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Nicholas P. Pellicani
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
• SEC Brings Enforcement Action Against Investment Adviser for Section 13 Beneficial Ownership Reporting Failures
  21 September 2020
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Nicholas P. Pellicani
• SEC Updates Statistical Disclosures for Banks
  21 September 2020
  Matthew E. Kaplan
  ,
  Joshua M. Samit
• SEC Modernizes Business Disclosures, Legal Proceedings and Risk Factors Under Regulation S-K
  2 September 2020
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Steven J. Slutzky
  ,
  Paul M. Rodel
  ,
  Morgan J. Hayes
  ,
  Eric T. Juergens
  ,
  Jason P. Auman
• SEC Adopts Final Rules on Proxy Voting Advice
  28 July 2020
  Matthew E. Kaplan
  ,
  Paul M. Rodel
  ,
  Joshua M. Samit
• SEC to Fund Managers with Access to MNPI: Trade in Portfolio Company Securities at Your Peril
  28 May 2020
  Kenneth J. Berman
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Marc Ponchione
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
• Southern District of New York Rules That Syndicated Term Loans Are Not Securities
  28 May 2020
  Matthew E. Kaplan
  ,
  Paul M. Rodel
  ,
  Jeffrey E. Ross
  ,
  Sunil William Savkar
  ,
  Scott B. Selinger
  ,
  Ramya S. Tiller
  ,
  Benjamin R. Pedersen
• NYSE Provides Temporary Shareholder Approval Exemptions in Light of COVID-19
  22 May 2020
  Morgan J. Hayes
  ,
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Nicholas P. Pellicani
• Nasdaq Provides Temporary Shareholder Approval Exemptions in Light of COVID-19
  8 May 2020
  Morgan J. Hayes
  ,
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Nicholas P. Pellicani
• Summary of the U.S. Treasury and Federal Reserve Programs and the Paycheck Protection Program
  21 April 2020
  Matthew E. Kaplan
  ,
  Rafael Kariyev
  ,
  Satish M. Kini
  ,
  Gregory J. Lyons
  ,
  Nicole Levin Mesard
  ,
  Jeff Robins
  ,
  Jeffrey E. Ross
  ,
  Kevin M. Schmidt
  ,
  Steven J. Slutzky
  ,
  Chen Xu
• Thinking About a New or Updated Non-GAAP Financial Measure for COVID-19? Look Before You Leap.
  17 April 2020
  Kara Brockmeyer
  ,
  Matthew E. Kaplan
  ,
  Jonathan F. Lewis
  ,
  Paul M. Rodel
  ,
  Jeffrey E. Ross
  ,
  Sunil William Savkar
  ,
  Jonathan R. Tuttle
• NYSE Provides Temporary Relief from Certain Shareholder Approval Rules
  10 April 2020
  Jennifer L. Chu
  ,
  Gregory V. Gooding
  ,
  Morgan J. Hayes
  ,
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
• SEC and ISS Issue New Guidance on Shareholder Meetings in Light of COVID-19 Pandemic
  10 April 2020
  Morgan J. Hayes
  ,
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Mary Jo White
• SEC Urges More Forward-Looking Disclosure in Upcoming Earnings Season
  10 April 2020
  Morgan J. Hayes
  ,
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
• Projecting Performance in the Age of COVID-19
  3 April 2020
  Michael Diz
  ,
  Gregory V. Gooding
  ,
  Matthew E. Kaplan
  ,
  William D. Regner
  ,
  Jeffrey J. Rosen
• CARES Act: Implications for PE-Sponsored Portfolio Companies
  31 March 2020
  Matthew E. Kaplan
  ,
  Jeffrey E. Ross
  ,
  Sunil William Savkar
  ,
  Peter F.G. Schuur
  ,
  Scott B. Selinger
  ,
  Steven J. Slutzky
  ,
  Zahra J. Khosrovi Sowder
• SEC Extends Relief Period for Late Disclosure Reports and Updates Coronavirus-Related Disclosure Guidance
  26 March 2020
  Morgan J. Hayes
  ,
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
• SEC Enforcement Co-Directors Address Important Issues of Market Integrity
  25 March 2020
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
• Federal Reserve Establishes New Facility to Provide Credit Support to Corporate Issuers
  24 March 2020
  Morgan J. Hayes
  ,
  Matthew E. Kaplan
  ,
  Jeffrey E. Ross
  ,
  Joshua M. Samit
  ,
  Zahra J. Khosrovi Sowder
  ,
  Chen Xu
• Delaware Supreme Court Upholds Federal-Forum Provisions for Securities Act Claims
  20 March 2020
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Maeve O'Connor
  ,
  William D. Regner
  ,
  Jonathan R. Tuttle
  ,
  Elliot Greenfield
• SEC Proposes to Subject Proxy Voting Advice to U.S. Federal Proxy Rules
  24 January 2020
  BNY Mellon
  Matthew E. Kaplan
  ,
  Joshua M. Samit
• SEC Proposes Updates to Auditor Independence Requirements
  7 January 2020
  Arian M. June
  ,
  Matthew E. Kaplan
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Jonathan R. Tuttle
• Insider Trading Disclosure Update - Vol. 6
  December 2019
  Morgan J. Hayes
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Julie M. Riewe
  ,
  Steven J. Slutzky
  ,
  Mark D. Flinn
  ,
  Benjamin R. Pedersen
• Governance Round-Up Issue 11
  10 December 2019
  Matthew E. Kaplan
  ,
  William D. Regner
  ,
  Jeffrey J. Rosen
  ,
  Steven J. Slutzky
  ,
  Joshua M. Samit
• 2020 Proxy Advisor Voting Guidelines: What to Watch For
  19 November 2019
  Matthew E. Kaplan
  ,
  Paul M. Rodel
  ,
  Joshua M. Samit
• ISS Sues SEC to Set Aside Guidance Subjecting Proxy Advisors to Proxy Rules
  12 November 2019
  Matthew E. Kaplan
  ,
  William D. Regner
  ,
  Joshua M. Samit
• SEC Proposes New Rules on Proxy Voting Advice and Shareholder Proposals
  12 November 2019
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  William D. Regner
  ,
  Paul M. Rodel
  ,
  Ezra Newman
• The Private Equity Report Fall 2019, Vol 19, No 2
  November 2019
  Andrew L. Bab
  ,
  Uri Herzberg
  ,
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Henry Lebowitz
  ,
  Paul M. Rodel
  ,
  Jeffrey E. Ross
  ,
  Scott B. Selinger
  ,
  Patricia Volhard
  ,
  Joshua M. Samit
  ,
  John Young
  ,
  Spencer K. Gilbert
  ,
  Ryan T. Rafferty
• Debt Tender and Exchange Offers: The Basics
  November 2019
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Joshua M. Samit
• Accounting and Financial Reporting Enforcement Round-Up
  28 October 2019
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Arian M. June
  ,
  Mark D. Flinn
• SEC Extends “Testing-the-Waters” to All Issuers
  1 October 2019
  Eric T. Juergens
  ,
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Paul M. Rodel
• SEC Provides New Guidance on Proxy Voting Advice
  28 August 2019
  Matthew E. Kaplan
  ,
  William D. Regner
  ,
  Paul M. Rodel
  ,
  Joshua M. Samit
• Governance Round-Up Issue 10
  12 August 2019
  Matthew E. Kaplan
  ,
  William D. Regner
  ,
  Jeffrey J. Rosen
  ,
  Steven J. Slutzky
  ,
  Joshua M. Samit
• House Financial Services Committee Considers Legislation that Would Make SEC Waivers More Difficult for Parties Settling with the Commission
  24 June 2019
  Kenneth J. Berman
  ,
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  James B. Amler
• SEC Proposes to Eliminate Auditor Attestation Requirement for Low-Revenue Reporting Companies
  23 May 2019
  Andrew L. Bab
  ,
  Morgan J. Hayes
  ,
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Eric T. Juergens
• Governance Round-Up Issue 9
  23 April 2019
  Matthew E. Kaplan
  ,
  William D. Regner
  ,
  Jeffrey J. Rosen
  ,
  Steven J. Slutzky
  ,
  Joshua M. Samit
• SEC Framework and No-Action Letter Provide Guidance on Analyzing Whether a Digital Asset is a Security
  11 April 2019
  Kenneth J. Berman
  ,
  Morgan J. Hayes
  ,
  Matthew E. Kaplan
  ,
  Byungkwon Lim
  ,
  Gary E. Murphy
  ,
  Jonathan Steinberg
• U.S. Supreme Court Sides with SEC in Interpreting “Scheme Liability”
  29 March 2019
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Robert B. Kaplan
  ,
  Matthew E. Kaplan
  ,
  Maeve O'Connor
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Bruce E. Yannett
• SEC Continues to Streamline and Update Disclosure Requirements
  27 March 2019
  Morgan J. Hayes
  ,
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
• Insider Trading & Disclosure Update - Vol. 5
  February 2019
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Morgan J. Hayes
  ,
  Steven J. Slutzky
  ,
  Mark D. Flinn
  ,
  Benjamin R. Pedersen
• Tenth Circuit Affirms SEC's Extraterritorial Reach
  29 January 2019
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
• Law360: Capital Markets Group of the Year
  28 January 2019
  Peter J. Loughran
  ,
  Steven J. Slutzky
  ,
  Matthew E. Kaplan
• Governance Round-Up Issue 8
  22 January 2019
  Matthew E. Kaplan
  ,
  William D. Regner
  ,
  Jeffrey J. Rosen
  ,
  Steven J. Slutzky
  ,
  Joshua M. Samit
• Failure to Present GAAP Measures with “Equal or Greater Prominence” Brings Swift SEC Enforcement Action
  10 January 2019
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Paul M. Rodel
  ,
  Mary Jo White
• U.S. Supreme Court to Review Private Right of Action in Cash Tender Offer
  8 January 2019
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Maeve O'Connor
• Basel Committee Publishes Report on Cyber-Resilience Practices
  14 December 2018
  Luke Dembosky
  ,
  Matthew E. Kaplan
  ,
  Jim Pastore
  ,
  Paul M. Rodel
• ISS Updates for 2019 Spotlight Gender Diversity
  26 November 2018
  Jennifer L. Chu
  ,
  Matthew E. Kaplan
  ,
  Paul M. Rodel
  ,
  Joshua M. Samit
• Debevoise & Plimpton on the SEC Enforcement Division’s 2018 Annual Report
  2 November 2018
  CLS Blue Sky Blog
  Mary Jo White
  ,
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
• Insider Trading & Disclosure Update - Vol. 4, Issue 1
  October 2018
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Morgan J. Hayes
  ,
  Steven J. Slutzky
  ,
  Mark D. Flinn
  ,
  Benjamin R. Pedersen
• Governance Round-Up Issue 7
  October 2018
  Matthew E. Kaplan
  ,
  William D. Regner
  ,
  Jeffrey J. Rosen
  ,
  Steven J. Slutzky
  ,
  Joshua M. Samit
• SEC Investigation Report: Internal Accounting Controls Must be Calibrated to Cyber Risk
  17 October 2018
  Luke Dembosky
  ,
  Matthew E. Kaplan
  ,
  Jim Pastore
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
• SEC Settles with Elon Musk and Tesla: Time to Review Your Disclosure Controls and Procedures
  16 October 2018
  Bloomberg Law
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Paul M. Rodel
• SEC Settles with Elon Musk and Tesla: Time to Review Your Disclosure Controls and Procedures
  3 October 2018
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Paul M. Rodel
• SEC Sues Hedge Fund Adviser For Alleged Short-and-Distort Scheme
  25 September 2018
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
• SEC Proposes Changes to Facilitate Registered Guaranteed and Secured Debt Offerings
  31 July 2018
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
• The Director Talks Crypto and The Sun Shines (a Little)
  15 June 2018
  Morgan J. Hayes
  ,
  Matthew E. Kaplan
• Accounting & Financial Reporting Enforcement Round-Up
  5 May 2018
  Issue
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Arian M. June
  ,
  Mark D. Flinn
• Debevoise Discusses the New SEC Cybersecurity Guidance
  26 March 2018
  The Columbia Law School Blue Sky Blog
  Luke Dembosky
  ,
  Matthew E. Kaplan
  ,
  Jim Pastore
  ,
  Paul M. Rodel
• New SEC Cybersecurity Guidance: Focus on Governance
  12 March 2018
  Luke Dembosky
  ,
  Matthew E. Kaplan
  ,
  Jim Pastore
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Joshua M. Samit
• SEC Issues New Guidance on Public Company Cybersecurity Disclosure and Governance
  22 February 2018
  Luke Dembosky
  ,
  Matthew E. Kaplan
  ,
  Jim Pastore
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Joshua M. Samit
• SEC Approves NYSE Rule Change to Facilitate “Direct Listings” by Privately Held Companies
  21 February 2018
  Matthew E. Kaplan
  ,
  Paul M. Rodel
  ,
  Joshua M. Samit
• Accounting & Financial Reporting Enforcement Round-Up
  Issue 4, January 2018
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Arian M. June
  ,
  Mark D. Flinn
• SEC Provides Guidance on Accounting Impacts of the Tax Cuts and Jobs Act
  5 January 2018
  Matthew E. Kaplan
  ,
  Paul M. Rodel
  ,
  Joshua M. Samit
• Bright Lines Don't Work for Blockchain Tokens
  17 October 2017
  Morgan J. Hayes
  ,
  Henry Lebowitz
  ,
  Byungkwon Lim
  ,
  Steven J. Slutzky
  ,
  Matthew E. Kaplan
• Accounting & Financial Reporting Enforcement Round-Up
  Issue 3, September 2017
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Arian M. June
  ,
  Mark D. Flinn
• Confidential SEC Review of IPOs Now Available To All Companies
  6 July 2017
  Morgan J. Hayes
  ,
  Matthew E. Kaplan
  ,
  Steven J. Slutzky
  ,
  Benjamin R. Pedersen
• Accounting & Financial Reporting Enforcement Round-Up
  Issue 2, June 2017
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Arian M. June
  ,
  Mark D. Flinn
• Accounting & Financial Reporting Enforcement Round-Up
  Issue 1, April 2017
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Arian M. June
  ,
  Mark D. Flinn
• SEC Requires Hyperlinks to Exhibits and HTML Formatting for Many Filings
  3 March 2017
  Matthew E. Kaplan
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
• SEC Enforcement Action Puts Spotlight on Segment Reporting
  14 December 2016
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Jonathan R. Tuttle
• Proxy Flash: Say-on-Pay Frequency Vote
  8 December 2016
  Lawrence K. Cagney
  ,
  Matthew E. Kaplan
  ,
  Meir D. Katz
  ,
  Jonathan F. Lewis
  ,
  Elizabeth Pagel Serebransky
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Joshua M. Samit
• Failure to Comply with Internal Corporate Processes and Policies May Violate Exchange Act Accounting Provisions
  7 December 2016
  Paul R. Berger
  ,
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
• Supreme Court’s Holding in Salman v. United States Leaves Many Important Questions Unanswered
  7 December 2016
  Paul R. Berger
  ,
  Matthew E. Fishbein
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
• The Outlook for Financial Regulatory Reform Under President Trump
  30 November 2016
  Kenneth J. Berman
  ,
  Lawrence K. Cagney
  ,
  Matthew E. Kaplan
  ,
  Satish M. Kini
  ,
  Gregory J. Lyons
  ,
  Elizabeth Pagel Serebransky
  ,
  Julie M. Riewe
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Jonathan R. Tuttle
• SEC Complaint Serves as Reminder to Carefully Consider Disclosure Obligations Relating to Government Investigations
  23 September 2016
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Jonathan R. Tuttle
• SEC Proposes Requiring Hyperlinked Exhibit Indexes in Filings
  6 September 2016
  Matthew E. Kaplan
  ,
  Steven J. Slutzky
  ,
  Paul M. Rodel
• Early Returns: Companies Change Non-GAAP Financial Disclosures Following Recently Issued SEC Guidance
  1 September 2016
  Matthew E. Kaplan
  ,
  Joshua M. Samit
• Insider Trading & Disclosure Update - Vol. 3, Issue 1
  August 2016
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Morgan J. Hayes
  ,
  Steven J. Slutzky
  ,
  Mark D. Flinn
  ,
  Benjamin R. Pedersen
  ,
  Bruce E. Yannett
  ,
  Colby A. Smith
  ,
  Julie M. Riewe
  ,
  Paul R. Berger
  ,
  Robert B. Kaplan
• D.C. Circuit Upholds Constitutionality of SEC’s In-House Courts
  12 August 2016
  Paul R. Berger
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
• SEC Adopts New Disclosure Requirements for Resource Extraction Issuers
  18 July 2016
  Matthew E. Kaplan
  ,
  Alan Kartashkin
  ,
  Andrew M. Levine
  ,
  Paul M. Rodel
  ,
  James C. Scoville
  ,
  Bruce E. Yannett
• Governance Round-Up Issue 6
  July 2016
  Matthew E. Kaplan
  ,
  Meir D. Katz
  ,
  Gary W. Kubek
  ,
  William D. Regner
  ,
  Jeffrey J. Rosen
  ,
  Steven J. Slutzky
• SEC Proposes to Expand Availability of Scaled Disclosure Requirements
  5 July 2016
  Matthew E. Kaplan
  ,
  Paul M. Rodel
  ,
  Joshua M. Samit
• SEC Proposes Overhaul of Mining Disclosures
  30 June 2016
  Matthew E. Kaplan
  ,
  Alan Kartashkin
  ,
  Paul M. Rodel
  ,
  James C. Scoville
  ,
  Vera Losonci
• SEC Approves Interim Final Rule Amending Form 10-K to Allow Filers to Include a Summary Section
  10 June 2016
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Steven J. Slutzky
• SEC Enforcement Actions Getting Up Close And Personal
  1 July 2016 (Vol. 17, No.1)
  Journal of Investment Compliance
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Jonathan R. Tuttle
• Non-GAAP Metrics in the Crosshairs: SEC Issues New Guidance
  19 May 2016
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Steven J. Slutzky
• SEC Adopts Final Rules Reflecting JOBS Act Changes to Registration Requirements
  10 May 2016
  Steven J. Slutzky
  ,
  Matthew E. Kaplan
  ,
  Elizabeth Pagel Serebransky
• Governance Round-Up Issue 5
  May 2016
  Matthew E. Kaplan
  ,
  Meir D. Katz
  ,
  Gary W. Kubek
  ,
  William D. Regner
  ,
  Jeffrey J. Rosen
  ,
  Steven J. Slutzky
• 28 Law Firms Publish White Paper Addressing Trust Indenture Act Complications In Debt Restructurings
  25 April 2016
  David A. Brittenham
  ,
  Matthew E. Kaplan
  ,
  M. Natasha Labovitz
  ,
  Peter J. Loughran
  ,
  Jeffrey E. Ross
• NYSE Listed Foreign Private Issuers Now Required to File Semiannual Unaudited Financial Information
  25 April 2016
  Matthew E. Kaplan
  ,
  James C. Scoville
  ,
  Steven J. Slutzky
  ,
  Vera Losonci
  ,
  Benjamin P. Collins-Wood
• Governance Round-Up Issue 4
  March 2016
  Jeffrey J. Rosen
  ,
  Steven J. Slutzky
  ,
  William D. Regner
  ,
  Matthew E. Kaplan
  ,
  Gary W. Kubek
  ,
  Meir D. Katz
• Disclosure Considerations for the 2016 Annual Reporting Season
  20 January 2016
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
• New PCAOB Rules Require Disclosure of Certain Audit Participants
  19 January 2016
  Matthew E. Kaplan
  ,
  Alan H. Paley
• Governance Round-Up Issue 3
  December 2015
  Jeffrey J. Rosen
  ,
  Steven J. Slutzky
  ,
  William D. Regner
  ,
  Matthew E. Kaplan
  ,
  Gary W. Kubek
• The "FAST" Act: New Limited Private Resale Exemption
  9 December 2015
  Matthew E. Kaplan
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
• Insider Trading & Disclosure Update - Vol. 2, Issue 2
  December 2015
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Morgan J. Hayes
  ,
  Steven J. Slutzky
• The "FAST" Act: Additional EGC Flexibility and Roadmap for Reform of Regulation S-K
  7 December 2015
  Matthew E. Kaplan
  ,
  Paul M. Rodel
• SEC Settles Action Concerning Adequacy of Policies to Prevent Dissemination of Material Nonpublic Information
  2 December 2015
  Paul R. Berger
  ,
  Kenneth J. Berman
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Jonathan R. Tuttle
• Governance Round-Up Issue 2
  November 2015
  Jeffrey J. Rosen
  ,
  Steven J. Slutzky
  ,
  William D. Regner
  ,
  Matthew E. Kaplan
• SEC Issues Guidance on Rule 14a-8(i)(9)
  23 October 2015
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Alan H. Paley
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
• Registration Rights – Thinking About The Exit At The Beginning
  1 October 2015
  Transaction Advisors
  Matthew E. Kaplan
  ,
  Eric T. Juergens
• SEC Enforcement Actions Getting Up Close and Personal
  23 September 2015
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Jonathan R. Tuttle
• Governance Round-Up Issue 1
  September 2015
  Jeffrey J. Rosen
  ,
  Steven J. Slutzky
  ,
  William D. Regner
  ,
  Matthew E. Kaplan
• ISS 2016 Annual Policy Survey Open Until September 4
  6 August 2015
  Matthew E. Kaplan
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
• SEC Seeks Input on Potential Changes to Audit Committee Disclosures
  9 July 2015
  Matthew E. Kaplan
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
• In Omnicare, the Supreme Court Clarifies When Statements of Opinion Are Actionable Under Section 11 of the Securities Act
  26 March 2015
  Matthew E. Kaplan
  ,
  Gary W. Kubek
  ,
  Peter J. Loughran
  ,
  Maeve O'Connor
  ,
  Alan H. Paley
  ,
  Jonathan R. Tuttle
  ,
  Colby A. Smith
  ,
  Bruce E. Yannett
  ,
  Elliot Greenfield
• Dropped Herbalife Insider Case Leaves Questions Unanswered
  27 February 2015
  Law360
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Morgan J. Hayes
• Allergan Fuels Tension Over Schedule 13D Disclosure
  23 February 2015
  Law360
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
• Another Modest Step to Easing SEC Registration Standards
  2 February 2015
  Matthew E. Kaplan
  ,
  Elizabeth Pagel Serebransky
  ,
  Meir D. Katz
• Insider Trading & Disclosure Update - Vol. 2, Issue 1
  January 2015
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Morgan J. Hayes
  ,
  Steven J. Slutzky
• Second Circuit Speaks On Source Of Duty For Insider Trading And Scope Of Disgorgement Remedy
  January 2015
  Financial Fraud Law Report
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
• Second Circuit Restores Teeth to Insider Trading Personal Benefit Requirement
  11 December 2014
  Paul R. Berger
  ,
  Helen V. Cantwell
  ,
  Eric Dinallo
  ,
  Matthew E. Fishbein
  ,
  Mark P. Goodman
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Andrew M. Levine
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
• Planning Ahead for 2015: Key Disclosure Issues for Banking Organizations
  10 October 2014
  Matthew E. Kaplan
  ,
  Satish M. Kini
  ,
  Gregory J. Lyons
  ,
  Alan H. Paley
  ,
  Paul M. Rodel
  ,
  Eric T. Juergens
• Be Timely or Else: SEC Imposes Sanctions Against Both Insiders and Issuers for Beneficial Ownership Reporting Failures
  2 October 2014
  Lawrence K. Cagney
  ,
  Matthew E. Kaplan
  ,
  Jonathan F. Lewis
  ,
  Elizabeth Pagel Serebransky
  ,
  Meir D. Katz
• Important Lessons Come in Small Packages: SEC Focus on MD&A Trends and Uncertainties Disclosure
  26 September 2014
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Jonathan R. Tuttle
  ,
  Morgan J. Hayes
• Tips for an Efficient Private Equity-Backed IPO
  4 August 2014
  Law360
  Matthew E. Kaplan
  ,
  Steven J. Slutzky
• Insider Trading & Disclosure Update - Vol. 1, No. 1
  July 2014
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Morgan J. Hayes
  ,
  Steven J. Slutzky
• Advance Planning for Sponsor-Backed IPOs
  21 May 2014
  The Review Of Securities & Commodities Regulation
  Matthew E. Kaplan
  ,
  Steven J. Slutzky
• Sponsor-Backed IPOs Keep Rolling
  Winter 2014, Vol. 14, Number 1
  Matthew E. Kaplan
  ,
  Steven J. Slutzky
• Sponsor-Backed IPOs Keep Rolling
  Winter 2014
  Matthew E. Kaplan
  ,
  Steven J. Slutzky
• Wading in the Waters: Conducting IPO Pricing Discovery after the “JOBS” Act
  Spring 2012, Vol. 12, Number 3
  Matthew E. Kaplan
• ALERT - Congress Actually Passing Bipartisan Legislation: JOBS Act to Facilitate Access to Capital
  Winter 2012
  Matthew E. Kaplan
• The Vilar Decision: Second Circuit Curtails the Territorial Reach of Criminal Liability under Section 10(b)
  October 2013
  Wall Street Lawyer
  Paul R. Berger
  ,
  Matthew E. Kaplan
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
• Regulation FD: Recent Charges Underscore Importance of Compliance Culture
  10 September 2013
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Jonathan R. Tuttle
• Second Circuit Curtails the Territorial Reach of Criminal Liability under Section 10(b)
  6 September 2013
  Paul R. Berger
  ,
  Matthew E. Kaplan
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
• SEC Adopts JOBS Act Rules Eliminating Ban on General Solicitations in Certain Private Offerings
  17 July 2013
  Michael P. Harrell
  ,
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Kenneth J. Berman
• SEC Adopts JOBS Act Rule Eliminating Ban on General Solicitations in Certain Private Offerings
  10 July 2013
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Steven J. Slutzky
  ,
  Paul M. Rodel
  ,
  Michael P. Harrell
  ,
  Kenneth J. Berman
• Got Financing? You May Have to Extend Your Tender Offer
  23 April 2013
  The Harvard Law School Forum on Corporate Governance and Financial Regulation
  Andrew L. Bab
  ,
  David A. Brittenham
  ,
  Matthew E. Kaplan
  ,
  Alan H. Paley
• Got Financing? You May Have to Extend Your Tender Offer
  5 April 2013
  Andrew L. Bab
  ,
  David A. Brittenham
  ,
  Matthew E. Kaplan
  ,
  Alan H. Paley
• Blogs, Facebooking and Tweeting: May Be Public Enough for Regulation FD
  4 April 2013
  Matthew E. Kaplan
  ,
  Alan H. Paley
• SEC Reporting Companies Must Disclose Certain Iran-related Activities
  5 March 2013
  Westlaw Journal - Securities Litigation & Regulation
  Matthew E. Kaplan
  ,
  Satish M. Kini
  ,
  Peter J. Loughran
  ,
  Alan H. Paley
  ,
  Carl Micarelli
• SEC Reporting Companies Must Disclose Certain Iran-Related Activities
  15 January 2013
  Matthew E. Kaplan
  ,
  Satish M. Kini
  ,
  Peter J. Loughran
  ,
  Alan H. Paley
  ,
  Carl Micarelli
• Blogs, Facebooking and Tweeting: Public Enough for Regulation FD?
  12 December 2012
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Andrew G. Jamieson
• Insider Trading Plans in Spotlight Again
  3 December 2012
  Jonathan R. Tuttle
  ,
  Matthew E. Kaplan
• Court Finds No Duty To Disclose Wells Notices
  September 2012
  INSIGHTS: The Corporate & Securities Law Advisor
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
• JOBS Act Rule Eliminating the Ban on General Solicitations in Certain Private Offerings Is Proposed
  31 August 2012
  Kenneth J. Berman
  ,
  Michael P. Harrell
  ,
  Matthew E. Kaplan
  ,
  Alan H. Paley
• PCAOB Tees Up Questions For Audit Committees To Ask Auditors About Audit Inspections
  13 August 2012
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Alan H. Paley
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
• Duty To Disclose SEC Wells Notices Rejected By Judge
  31 July 2012
  The Harvard Law School Forum on Corporate Governance and Financial Regulation
  Paul R. Berger
  ,
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
• Southern District of New York Judge Rejects Claims Alleging a Duty to Disclose SEC Wells Notices
  3 July 2012
  Paul R. Berger
  ,
  Colby A. Smith
  ,
  Alan H. Paley
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
• SEC Issues Final Rules on Listing Standards for Compensation Committees
  26 June 2012
  Elizabeth Pagel Serebransky
  ,
  Matthew E. Kaplan
• The Private Equity Report
  Spring 2012
  Gregory V. Gooding
  ,
  Alan J. Davies
  ,
  Matthew E. Kaplan
  ,
  Pierre Maugüé
  ,
  Kenneth J. Berman
  ,
  Michael P. Harrell
  ,
  Marcia L. MacHarg
  ,
  Lawrence K. Cagney
  ,
  David Innes
  ,
  Dr. Thomas Schürrle
  ,
  M. Natasha Labovitz
• Testing The Waters
  May 2012
  International Financial Law Review
  Matthew E. Kaplan
  ,
  Alan H. Paley
• It’s Raining “JOBS”—President Signs the “JOBS” Act into Law
  5 April 2012
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Peter J. Loughran
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
• It's Raining 'JOBS' - President Signs The 'JOBS' Act Into Law
  April 2012
  International Securities & Capital Markets Newsletter
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Alan H. Paley
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
• “Wading in the Waters”: Conducting IPO Pricing Discovery After the “JOBS” Act
  Spring 2012
  Matthew E. Kaplan
• JOBS Act To Facilitate Access To Capital
  29 March 2012
  The Daily Deal
  Matthew E. Kaplan
• JOBS Act And The Private Equity Industry
  28 March 2012
  The Deal
  Matthew E. Kaplan
• Senate Agrees with House on Need for Capital Formation Reform and Passes the "JOBS" Act
  23 March 2012
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Peter J. Loughran
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
• The Private Equity Report
  Winter 2012
  Matthew E. Kaplan
  ,
  David Innes
  ,
  Alan J. Davies
  ,
  Thomas Smith
  ,
  Kevin Rinker
  ,
  Gary E. Murphy
  ,
  Kenneth J. Berman
  ,
  Andrew M. Ostrognai
  ,
  Jeffrey E. Ross
  ,
  Scott B. Selinger
  ,
  David A. Brittenham
• Capital Formation Reform Pushed into Overdrive by the “JOBS” Act
  9 March 2012
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Peter J. Loughran
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
• Corporate Governance Feature: 500 and Counting - Proposed Law Would Make It Easier to Stay Private
  October 2011
  The M&A Lawyer
  Matthew E. Kaplan
  ,
  Jonathan F. Lewis
• Signs of Life
  October 2011
  International Financial Law Review
  Matthew E. Kaplan
  ,
  Jonathan F. Lewis
• The Private Equity Report
  Spring 2011
  Franci J. Blassberg
  ,
  Michael P. Harrell
  ,
  Satish M. Kini
  ,
  Lawrence K. Cagney
  ,
  Jonathan F. Lewis
  ,
  Matthew E. Kaplan
  ,
  Gregory V. Gooding
  ,
  Jonathan E. Levitsky
  ,
  Paul D. Brusiloff
  ,
  Elizabeth Pagel Serebransky
  ,
  Maurizio Levi-Minzi
  ,
  E. Drew Dutton
  ,
  Andrew L. Bab
  ,
  Jonathan Adler
  ,
  Anne-Lise Quach
• SEC Issues Final Rules Implementing New Whistleblower Program
  27 May 2011
  Paul R. Berger
  ,
  Matthew E. Kaplan
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
• SEC Issues Proposed Rules Regarding Listing Standards for Compensation Committees
  May 2011
  The M&A Lawyer
  Matthew E. Kaplan
  ,
  Elizabeth Pagel Serebransky
  ,
  Steven J. Slutzky
• SEC Issues Proposed Rules Regarding Listing Standards for Compensation Committees
  15 April 2011
  Matthew E. Kaplan
  ,
  Elizabeth Pagel Serebransky
  ,
  Steven J. Slutzky
• SEC to Review Limits on Shareholders in Private Companies
  8 April 2011
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Steven J. Slutzky
• The Private Equity Report
  Winter 2011
  Franci J. Blassberg
  ,
  Jonathan F. Lewis
  ,
  Margaret Andrews Davenport
  ,
  Michael Diz
  ,
  Katherine Ashton
  ,
  Alan J. Davies
  ,
  David Innes
  ,
  Paul R. Berger
  ,
  Michael P. Harrell
  ,
  Gavin Anderson
  ,
  Eric Dinallo
  ,
  Matthew E. Kaplan
  ,
  Steven J. Slutzky
• Shareholders Get Their Say: A Divided SEC Adopts Final “Say-On-Pay” Rules
  31 January 2011
  Lawrence K. Cagney
  ,
  Matthew E. Kaplan
  ,
  Jonathan F. Lewis
  ,
  Peter J. Loughran
  ,
  Elizabeth Pagel Serebransky
  ,
  Steven J. Slutzky
• SEC Gives Shareholder Guidance on Post-IPO Rules
  9 December 2010
  International Financial Law Review
  Matthew E. Kaplan
  ,
  Elizabeth Pagel Serebransky
  ,
  Jeffrey J. Rosen
• SEC Staff Provides Welcome Guidance on Post-IPO Stockholder Arrangements
  18 November 2010
  Elizabeth Pagel Serebransky
  ,
  Jeffrey J. Rosen
  ,
  Matthew E. Kaplan
• Still Cookin' in Dallas—Fifth Circuit Reverses Dismissal of Insider Trading Charges against Mark Cuban
  27 September 2010
  Paul R. Berger
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
• Thinking About an IPO?
  June 2010
  Mergers & Acquisitions
  Matthew E. Kaplan
• Goodbye Roadmap, Hello Work Plan: SEC Continues to Consider Use of IFRS by U.S. Issuers
  11 May 2010
  BNA Accounting Policy & Practice Report
  Matthew E. Kaplan
  ,
  Steven J. Slutzky
• The Private Equity Report
  Winter 2010
  Franci J. Blassberg
  ,
  Matthew E. Kaplan
  ,
  Geoffrey P. Burgess
  ,
  Stuart Hammer
  ,
  Richard Ward
  ,
  Gary M. Friedman
  ,
  Andrew L. Bab
• Goodbye Roadmap, Hello Work Plan: SEC Continues to Consider Use of IFRS by U.S. Issuers
  17 March 2010
  Matthew E. Kaplan
  ,
  Steven J. Slutzky
• New and Improved SEC Guidance on Non-GAAP Financial Measures
  12 February 2010
  Matthew E. Kaplan
  ,
  Peter J. Loughran
• SEC Proposes Rule Amendments to Permit Pre-Filing Communications by Underwriters on Behalf of WKSIs
  21 January 2010
  Matthew E. Kaplan
  ,
  Alan H. Paley
• Preparing for XBRL
  15 January 2010
  Alan H. Paley
  ,
  Matthew E. Kaplan
  ,
  Peter J. Loughran
  ,
  Steven J. Slutzky
• What's Cookin' in Dallas? Cuban and the SEC
  24 August 2009
  Appellate Law360 and Securities Law360
  Matthew E. Kaplan
  ,
  Paul R. Berger
  ,
  Jonathan R. Tuttle
• Second Circuit to Computer Hackers: Insider Trading Laws Apply
  14 August 2009
  Matthew E. Kaplan
  ,
  Paul R. Berger
  ,
  Steven J. Slutzky
  ,
  Colby A. Smith
• What’s Cookin’ in Dallas? Court Dismisses Insider Trading Charges against Mark Cuban
  4 August 2009
  Paul R. Berger
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
• FASB Issues Guidance on Fair Value Determination in Illiquid or Inactive Markets
  17 April 2009
  Matthew E. Kaplan
  ,
  Steven J. Slutzky
• The Financial Institutions Report
  Volume 3, Number 1, Winter 2009
  Alexander R. Cochran
  ,
  Wolcott B. Dunham, Jr.
  ,
  Matthew E. Kaplan
  ,
  Paul M. Rodel
• Goodbye U.S. GAAP? SEC Proposes Roadmap for Mandatory Use of IFRS by U.S. Issuers
  23 January 2009
  BNA Accounting Policy & Practice Report
  Matthew E. Kaplan
  ,
  Paul M. Rodel
• The Financial Institutions Report
  Volume 2, Number 4, Fall 2008
  Wolcott B. Dunham, Jr.
  ,
  Steven Ostner
  ,
  Alexander R. Cochran
  ,
  David Grosgold
  ,
  Matthew E. Kaplan
• The Boom in Arbitration in Asia
  July/August 1996
  Asia Law
  Donald Francis Donovan
  ,
  Matthew E. Kaplan
  ,
  David W. Rivkin