Publications

• Governance Round-Up Issue 19
  14 September 2026
  Matthew E. Kaplan
  ,
  William D. Regner
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Joshua M. Samit
  ,
  Alexander Bracco
  ,
  Amy Pereira
• SEC Proposes to Limit Rule 15c2-11 to Equity Securities Only
  23 March 2026
  Matthew E. Kaplan
  ,
  Joshua M. Samit
  ,
  Eleanor Neilson
• Governance Round-Up Issue 18
  2 March 2026
  Matthew E. Kaplan
  ,
  William D. Regner
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Joshua M. Samit
  ,
  Alexander Bracco
  ,
  Amy Pereira
• Governance Round-Up Issue 17
  16 October 2025
  Matthew E. Kaplan
  ,
  William D. Regner
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Joshua M. Samit
  ,
  Alexander Bracco
  ,
  Amy Pereira
• Governance Round-Up Issue 16
  8 July 2025
  Matthew E. Kaplan
  ,
  William D. Regner
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Joshua M. Samit
  ,
  Alexander Bracco
  ,
  Amy Pereira
• Governance Round-Up Issue 15
  8 April 2025
  Matthew E. Kaplan
  ,
  William D. Regner
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Joshua M. Samit
  ,
  Jasmine Fong
  ,
  Amy Pereira
• Governance Round-Up Issue 14
  17 December 2024
  Matthew E. Kaplan
  ,
  William D. Regner
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Joshua M. Samit
  ,
  Amy Pereira
• Governance Round-Up Issue 13
  9 July 2024
  Avi Gesser
  ,
  William D. Regner
  ,
  Paul M. Rodel
  ,
  Steven J. Slutzky
  ,
  Joshua M. Samit
  ,
  Amy Pereira
• 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
• 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
  ,
  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
  ,
  Steven J. Slutzky
  ,
  Joshua M. Samit
  ,
  John Jacob
• 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
• SEC Staff Delays Enforcement of Amended OTC Quotation Requirements for Fixed-Income Securities
  27 September 2021
  Matthew E. Kaplan
  ,
  Joshua M. Samit
• 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
• NYSE Further Amends Related Party Transaction Approval Requirements
  27 August 2021
  Matthew E. Kaplan
  ,
  Nicholas P. Pellicani
  ,
  Joshua M. Samit
• NYU Compliance & Enforcement Blog: SEC Levies $1 Million Penalty for Allegedly Misleading Cybersecurity Incident Disclosures
  22 August 2021
  NYU Compliance & Enforcement Blog
  Avi Gesser
  ,
  Paul M. Rodel
  ,
  Joshua M. Samit
  ,
  Charu A. Chandrasekhar
• SEC Approves New Nasdaq Listing Rule to Advance Diversity
  13 August 2021
  Matthew E. Kaplan
  ,
  Joshua M. Samit
• The Current State of the LIBOR Transition: A Mid-Year Overview
  9 August 2021
  Michael Bolotin
  ,
  Paul D. Brusiloff
  ,
  Jeff Robins
  ,
  Ramya S. Tiller
  ,
  Emilie T. Hsu
  ,
  Joshua M. Samit
• NYSE Amends Related Party Transaction Approval Requirements
  25 May 2021
  Matthew E. Kaplan
  ,
  Nicholas P. Pellicani
  ,
  Joshua M. Samit
• 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
• SEC Amends And Updates Shareholder Proposal Submission Requirements Under Rule 14a-8
  7 October 2020
  Matthew E. Kaplan
  ,
  Paul M. Rodel
  ,
  Joshua M. Samit
• SEC Updates Statistical Disclosures for Banks
  21 September 2020
  Matthew E. Kaplan
  ,
  Joshua M. Samit
• SEC Adopts Final Rules on Proxy Voting Advice
  28 July 2020
  Matthew E. Kaplan
  ,
  Paul M. Rodel
  ,
  Joshua M. Samit
• Federal Reserve Establishes New Facility to Provide Credit Support to Corporate Issuers
  24 March 2020
  Morgan J. Hayes
  ,
  Matthew E. Kaplan
  ,
  Joshua M. Samit
  ,
  Zahra Jane Sowder
  ,
  Chen Xu
• SEC Proposes to Subject Proxy Voting Advice to U.S. Federal Proxy Rules
  24 January 2020
  BNY Mellon
  Matthew E. Kaplan
  ,
  Joshua M. Samit