SEC/CORPORATE -
SEC Division of Corporation Finance Issues C&DIs on Proxy Rules and Proxy Statements, Overhauling Telephone Interpretations Manual -
On May 11, the staff of the Division of Corporation Finance of the...more
BROKER-DEALER -
FINRA Seeks Comment on Rule Proposal Regarding High-Risk Brokers -
On May 30, the Financial Industry Regulatory Authority published Regulatory Notice 18-16, which seeks comment on proposed rule...more
On April 18, concurrently with its publication for comment of a proposed fiduciary rule for brokers,1 the Securities and Exchange Commission (SEC) took several actions that broadly implicate investment advisers....more
SEC/CORPORATE -
SEC Expands Nonpublic Review of Draft Registration Statements -
On June 29, the Division of Corporation Finance (Division) of the Securities and Exchange Commission announced that, beginning on July 10,...more
7/10/2017
/ Bitcoin ,
CFTC ,
Consultation ,
Emerging Growth Companies ,
Financial Conduct Authority (FCA) ,
Initial Public Offering (IPO) ,
JOBS Act ,
MiFID II ,
NFA ,
No-Action Relief ,
Registration Statement ,
Securities and Exchange Commission (SEC) ,
SEFs ,
UK
SEC/CORPORATE -
On May 4, Jay Clayton was sworn into office as the new chairman of the Securities and Exchange Commission. As discussed in the January 6 edition of the Corporate & Financial Weekly Digest, Mr. Clayton was a...more
Final Report Issued by SEC-Government-Business Forum on Small Business Capital Formation -
In March 2017, the Government-Business Forum on Small Business Capital Formation of the Securities and Exchange Commission...more
On June 28, the Securities and Exchange Commission (SEC) proposed a new rule, Rule 206(4)-4 (the "Proposed Rule") under the Investment Advisers Act of 1940 (the "Advisers Act"), that would make it unlawful for an...more
On November 16, 2015, the Securities and Exchange Commission (SEC) sued an investment adviser, Virtus Investment Advisers, Inc., who had hired another adviser, F Squared Investments, Inc., to sub-advise certain mutual funds...more
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
The Commodity Futures Trading Commission’s Energy and Environmental Markets Advisory Committee will hold a public meeting on July 29. The Advisory Committee will discuss how energy and environmental markets would be affected...more
In this issue:
- Court of Appeals for Third Circuit Overturns District Court Ruling Regarding Exclusion of Shareholder Proposal From Proxy Statement
- FINRA Updates Its Interpretation of the SEC's Financial...more
7/20/2015
/ Carried Interest ,
CFTC ,
CPOs ,
DSIO ,
Financial Industry Regulatory Authority (FINRA) ,
Forward Contracts ,
Oil & Gas ,
Price Manipulation ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Shareholder Proposals ,
Shareholders ,
UK
In This Issue:
- NFA Updates BASIC to Assist With Bylaw 1101 Diligence on Delegating CPOs
- Second Circuit Refuses to Rehear Groundbreaking Insider Trading Case
- SEC Secures Victory on Fraud Allegations...more
In this issue:
- SEC Publishes Rules for Reporting Security-Based Swaps
- SEC Proposes Rules for Disclosure of Companies’ Hedging Policies
- CFTC Extends Relief From Certain OCR Requirements
- NFA...more
2/17/2015
/ Arbitration ,
Banking Sector ,
Banks ,
Bribery ,
Brokered Deposits ,
Capital Requirements ,
CFTC ,
Clawbacks ,
FDIC ,
Haiti ,
Hedging ,
NFA ,
OCC ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Subordination
In this issue:
- ISS Releases 2015 Draft Voting Policy Changes for Comment
- SEC Investor Advisory Committee Releases Recommendations on Changes to Accredited Investor Definition
- FINRA Proposes to...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
The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) recently issued several letters affecting commodity pool operators (CPOs):
JOBS Act Harmonization: On September 9,...more
9/16/2014
/ CFTC ,
CPO ,
Disclosure Requirements ,
DSIO ,
General Solicitation ,
JOBS Act ,
Private Offerings ,
Regulation D ,
Reporting Requirements ,
Rule 506(c) ,
Securities and Exchange Commission (SEC)