SEC/CORPORATE -
House Passes Disclosure Modification and “4(a)(1)(1/2)” Bills -
On October 6, the US House of Representatives passed the Disclosure Modification and Simplification Act of 2015 (H.R. 1525), which, if...more
10/12/2015
/ Advisory Committee ,
CFTC ,
Derivatives ,
EMIR ,
Equity Research Rule ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Form 10-K ,
Market Risk Capital Rule ,
NASD ,
Registration Requirement ,
Regulation S-K ,
Securities and Exchange Commission (SEC)
On September 28, the European Securities and Markets Authority (ESMA) published a final report (Report) containing draft regulatory and implementing technical standards (Standards) on the revised EU Markets in Financial...more
BROKER-DEALER SEC -
Extends Specified Temporary Relief Related to Security-Based Swaps -
On September 15, the SEC issued an order extending temporary exemptions and exceptions from compliance with certain...more
9/21/2015
/ BEA ,
Broker-Dealer ,
CFTC ,
Derivatives ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Investment Adviser ,
Investment Companies ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Security-Based Swaps ,
UK
SEC/CORPORATE -
SEC Decreases Registration Statement Filing Fees for Fiscal Year 2016 -
On August 27, the Securities and Exchange Commission announced that, effective October 1, the fees that public companies and...more
On August 6, the European Commission (EC) adopted new rules in the form of a delegated regulation (Delegated Regulation) requiring the mandatory clearing of certain over-the-counter (OTC) interest rate derivatives contracts...more
On May 22, the European Securities and Markets Authority (ESMA) published an opinion to the EU institutions (including the Commission, Parliament and Council) calling for a modification of the Directive for Undertakings for...more
On May 7, the European Securities and Markets Authority (ESMA) issued final guidelines (Guidelines) clarifying the definition of physically settled commodity derivatives under the Markets in Financial Instruments Directive...more
In this issue:
- SEC Division of Corporation Finance Issues New C&DI Related to Rule 147 and Website/Social Media Use
- Director of SEC Division of Corporation Finance Gives Speech on Securities...more
10/13/2014
/ Bitcoin ,
CFTC ,
Derivatives ,
Derivatives Clearing Organizations ,
Disclosure ,
Disclosure Requirements ,
Financial Industry Regulatory Authority (FINRA) ,
Internet ,
Over The Counter Derivatives (OTC) ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Social Media ,
TRACE ,
Virtual Currency ,
Waivers ,
Websites
On September 29, the European Securities and Markets Authority (ESMA) published a consultation paper (ESMA/2014/1189) (Consultation Paper) concerning the adoption of guidelines clarifying the definitions of “derivative” and...more
In this issse:
- ISS Publishes Results of Annual Global Voting Policy Survey
- FINRA Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System
- NFA Issues Notice...more
10/6/2014
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Derivatives ,
Designated Contract Markets (DCMs) ,
Enforcement ,
Enforcement Actions ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Fraud ,
Institutional Shareholder Services (ISS) ,
MiFID ,
NFA ,
Risk Assessment ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
SEFs