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)
SEC Finalizes Rule on Pay Ratio Disclosure -
On August 5, the Securities and Exchange Commission adopted the final rule regarding pay ratio disclosure that amends Item 402 of Regulation S-K to implement Section 953(b)...more
8/10/2015
/ Broker-Dealer ,
Derivatives Clearing Organizations ,
Disclosure Requirements ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Greece ,
NASD ,
Pay Ratio ,
Proxy Access Rule ,
Regulation S-K ,
Securities and Exchange Commission (SEC) ,
UK
In this issue:
- SEC Seeks Comment on Possible Enhancement of Audit Committee Disclosures
- SEC Proposes Rule Requiring Executive Compensation Clawbacks
- FINRA Requests Comment on Revised Discretionary...more
7/13/2015
/ Audit Committee ,
CFTC ,
Clawbacks ,
Cross-Border ,
Enforcement Actions ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Futures ,
Greece ,
Hong Kong ,
Margin Requirements ,
MiFID II ,
Securities and Exchange Commission (SEC) ,
Swaps
In this issue:
- SEC Proposes Rules for Security-based Swap Activity of Non-US Persons in the United States
- FINRA Proposes Exemption From the TAF for Proprietary Trading Firms
- SEC Approves Pilot to...more
5/11/2015
/ Broker-Dealer ,
Captive Insurance Company ,
CFTC ,
Class Action ,
Commodities ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
MiFID ,
Proprietary Trading ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Small Offering Exemptions ,
SPVs ,
Urban Outfitters
In this issue:
- SEC Adopts Final Rules for Regulation A+ Offerings
- FINRA Issues Notice on New Rules and Amendments Relating to Transaction-Based Compensation, Membership and Sanctions
- FINRA Issues...more
3/30/2015
/ Algorithmic Trading ,
Alternative Investment Fund Managers Directive (AIFMD) ,
CFTC ,
Final Rules ,
Financial Industry Regulatory Authority (FINRA) ,
New Guidance ,
Pharmaceutical Industry ,
Regulation A ,
Regulation SHO ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Supervision
In this issue:
- SEC Advisory Committee on Small and Emerging Companies to Discuss “Accredited Investor” Definition
- Glass Lewis Enhances its Pay-for-Performance and Equity Plan Models
- SEC Issues New...more
2/9/2015
/ Accredited Investors ,
CBOE ,
Cybersecurity ,
Emerging Growth Companies ,
Enforcement Actions ,
Equity Plans ,
European Securities and Markets Authority (ESMA) ,
Exchange Offer ,
Federal Reserve ,
Financial Industry Regulatory Authority (FINRA) ,
Glass Lewis ,
Pay-for-Performance ,
Ponzi Scheme ,
Private Student Loans ,
Proposed Amendments ,
Securities and Exchange Commission (SEC) ,
Small Business ,
Tender Offers
In this issue:
- SEC Chair Directs Staff to Review Commission Rule Excluding Conflicting Proxy Proposals
- SEC Comments on FINRA's Proposed Rule Amendment to Increase Pricing Disclosure
- CFTC Grants...more
1/26/2015
/ Broker-Dealer ,
Canada ,
CFTC ,
Class Action ,
Conflicts of Interest ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Forex ,
Hart-Scott-Rodino Act ,
Hong Kong ,
Mary Jo White ,
Mexico ,
Mining ,
Mortgages ,
NFA ,
OCC ,
Proposed Regulation ,
Proxy Access Rule ,
PSLRA ,
Scienter ,
Securities ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals ,
Threshold Requirements ,
Whole Foods
In this issue:
- US Court of Appeals for the District of Columbia Circuit Grants Petition for Rehearing of Decision on Conflicts Minerals Rule
- Register for Our 2015 Proxy Season Update Webinar
- SEC...more
11/24/2014
/ Amnesty International ,
Appeals ,
CFTC ,
Conflict Mineral Rules ,
Crowdfunding ,
Disclosure Requirements ,
EU ,
European Commission ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
FinCEN ,
Fixed Income Investments ,
Forward Contract Exclusion ,
Forward Contracts ,
MSRB ,
Proxy Season ,
Proxy Voting Guidelines ,
Securities and Exchange Commission (SEC) ,
Swap Dealers
In this issue:
- SEC Sanctions 10 Companies for Disclosure Failures Surrounding Financing Deals and Stock Dilution
- Delaware Court of Chancery Rejects Entire Fairness Review in Absence of Conflicted...more
11/10/2014
/ CFTC ,
Compliance ,
Dilution ,
Disclosure Requirements ,
Enforcement ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Financing ,
Futures Commission Merchants (FCMs) ,
Mutual Funds ,
NFA ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
UK ,
Virtual Currency
In this issue:
- Delaware Court of Chancery Rejects Controlling Stockholder Claims and Applies Business Judgment Rule to Merger Suits
- FINRA Remarks at the National Society of Compliance Professionals...more
10/27/2014
/ AIFM ,
Business Judgment Rule ,
CFTC ,
Enforcement Actions ,
ETFs ,
Financial Industry Regulatory Authority (FINRA) ,
High Frequency Trading ,
IOSCO ,
Private Funds ,
Securities and Exchange Commission (SEC) ,
Shareholder Litigation ,
Shareholders
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
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
In this issue:
- SEC Releases Strategic Plan for 2014–2018
- House Passes Bill H.R. 5405 “Promoting Job Creation and Reducing Small Business Burdens Act”
- FINRA Board Approves Several Rulemaking Items...more
9/29/2014
/ BEPS ,
Block Trades ,
CFTC ,
Credit Default Swaps ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Corrupt Practices Act (FCPA) ,
Foreign Official ,
Job Creation ,
New Legislation ,
OECD ,
Over The Counter Derivatives (OTC) ,
Ponzi Scheme ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
SEFs ,
Small Business ,
Strategic Enforcement Plan
In this issue:
- Bylaw of Delaware Corporation Providing for Exclusive Forum in North Carolina Upheld
- FINRA Board to Consider Rule Proposals Regarding Private Trading Platforms
- CBOE and C2 in...more
9/15/2014
/ AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Banks ,
Bitcoin ,
CBOE ,
CFTC ,
Commodity Pool ,
Compliance ,
Consumer Financial Protection Bureau (CFPB) ,
CPO ,
Cross-Border ,
Exclusive Jurisdiction ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Forum ,
ISDA ,
JOBS Act ,
Jurisdiction ,
Over The Counter Derivatives (OTC) ,
Regulation M ,
Regulation Z ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Swap Dealers ,
Swaps ,
UK
In this issue:
- Oregon State Court Refuses to Enforce Forum Selection Bylaw
- SEC Announces Pilot Program to Widen Tick Sizes for Smaller Companies
- NFA Issues Notice Setting Effective Date for Risk...more
9/2/2014
/ Arbitration ,
Attorney's Fees ,
CFTC ,
Compliance ,
Confidentiality Agreements ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Forum Selection ,
Mandatory Arbitration Clauses ,
NFA ,
Restrictive Covenants ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Shareholder Litigation ,
Shareholders ,
Small Business