SEC/CORPORATE -
SEC Advisory Committee on Small and Emerging Companies Makes Recommendations -
On September 23, the Securities and Exchange Commission Advisory Committee on Small and Emerging Companies (Advisory...more
9/28/2015
/ ACH Payments ,
Asset Diversification ,
Banking Sector ,
Broker-Dealer ,
CFTC ,
Derivatives ,
Derivatives Clearing Organizations ,
Emerging Growth Companies ,
FDIC ,
Financial Conduct Authority (FCA) ,
Finders ,
Investment Funds ,
IRS ,
Mutual Funds ,
Registration Requirement ,
Rule 147 ,
SEC Advisory Committee ,
Securities and Exchange Commission (SEC) ,
Supervision ,
U.S. Treasury ,
UK
SEC/CORPORATE -
US District Court Orders SEC To Revise Resource Extraction Issuer Rule -
On September 2, the US District Court for the District of Massachusetts ordered the SEC to file with the District Court in 30...more
9/14/2015
/ Banking Sector ,
Broker-Dealer ,
C-Suite Executives ,
CFTC ,
Commodities ,
Consultation ,
Corporate Executive Boards ,
Failure To Disclose ,
FFIEC ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Investment Funds ,
Major Swap Participants ,
NFA ,
NYSE ,
Oxfam America ,
Resource Extraction ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Swaps ,
Trade Market Abuse ,
UCITS ,
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
In this issue:
- US Court of Appeals for the District of Columbia Circuit Upholds Decision on Conflict Minerals Rule
- CFTC Issues Order of Exemption From Registration as a DCO to ASX Clear (Futures) Pty Limited and...more
8/24/2015
/ Appeals ,
CFTC ,
Conflict Mineral Rules ,
Derivatives ,
EMIR ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Prudential Regulation Authority (PRA) ,
Registration Requirement ,
Securities and Exchange Commission (SEC) ,
Swap Clearing ,
Swaps ,
Websites
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:
- SEC Denies Motion to Stay Regulation A+
- SEC Requests Public Comment on ETPs
- CFTC Further Extends Valuation Data Reporting Relief for SDs and MSPs
- Eleventh Circuit Upholds...more
6/22/2015
/ Alternative Investment Funds ,
AMF ,
Banking Sector ,
Broker-Dealer ,
Brokers ,
CFTC ,
Commodities ,
Corporate Governance ,
Exchange-Traded Products ,
FDIC ,
Food Commodities ,
Insider Trading ,
Mortgage Lenders ,
Mortgages ,
OCC ,
Regulation A ,
Securities and Exchange Commission (SEC) ,
Wire Fraud
In this issue:
- SEC Proposes New Pay-for-Performance Rules
- NASAA Launches a Streamlined Filing Process for Form D
- CFTC Proposal Eases Trade Option Obligations for Non-SD/MSP Counterparties
-...more
5/4/2015
/ Canada ,
CFTC ,
Exclusive Remedy ,
Executive Compensation ,
Form D Filing ,
Forum Selection ,
Major Swap Participants ,
NASAA ,
Pay-for-Performance ,
Securities and Exchange Commission (SEC) ,
Swap Dealers
In this issue:
- Update: Proposed Amendments to DGCL, Including Ban on Fee-Shifting and Permitting Exclusive Forum Provisions
- CFTC and Australian Regulator Sign Memorandum of Understanding Regarding...more
4/20/2015
/ Bank Holding Company ,
CFTC ,
Debt Financing ,
Debt Securities ,
Delaware General Corporation Law ,
Enforcement Actions ,
Federal Reserve ,
Federal Sentencing Guidelines ,
Fee-Shifting ,
Financial Conduct Authority (FCA) ,
Insider Trading ,
Memorandum of Understanding ,
Proposed Amendments ,
Securities and Exchange Commission (SEC) ,
Sentencing Enhancements ,
White Collar Crimes
In This Issue:
- CFTC Extends Portfolio Margining on ICE Clear Europe
- CFTC Extends CCO Report Filing Deadline
- CFTC Issues Relief to Swap Dealers Regarding Legacy SPV Swaps
- CME Updates Order...more
4/6/2015
/ Annual Reports ,
CFTC ,
Chicago Mercantile Exchange (CME) ,
Chief Compliance Officers ,
Class Action ,
DSIO ,
European Securities and Markets Authority (ESMA) ,
Filing Deadlines ,
Futures Commission Merchants (FCMs) ,
KBR (formerly Kellogg Brown & Root) ,
Major Swap Participants ,
Order Routing ,
Securities and Exchange Commission (SEC) ,
SPVs ,
Whistleblowers
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:
- Meeting of the SEC Advisory Committee on Small and Emerging Companies
- Financial Action Task Force Publishes Updated List of Deficient Jurisdictions
- CFTC to Host Roundtable on...more
3/9/2015
/ CFTC ,
Cybersecurity ,
Destruction of Evidence ,
EU ,
FATF ,
Foreign Banks ,
Jurisdiction ,
Risk Alert ,
Sarbanes-Oxley ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Small Business ,
Volcker Rule
In this issue:
- CFTC’s Energy and Environmental Markets Advisory Committee To Hold Meeting
- CFTC Announces Members of Market Risk Advisory Committee
- NFA Notifies SDs and MSPs of Annual Questionnaire...more
2/23/2015
/ CFOs ,
CFTC ,
Derivatives ,
Dodd-Frank ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Statements ,
Foreign Exchanges ,
MiFID II ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Stock Sale Agreements ,
UK ,
Whistleblowers
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:
- 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:
- SEC Proposes Rule Amendments to Implement JOBS Act Registration Thresholds
- ISS Releases FAQs on Equity Plan Scorecard and Independent Chair Policy
- FINRA Issues Annual Regulatory and...more
1/12/2015
/ CFTC ,
Chicago Mercantile Exchange (CME) ,
Equity Plans ,
Financial Industry Regulatory Authority (FINRA) ,
Futures Commission Merchants (FCMs) ,
Independent Boards ,
Institutional Shareholder Services (ISS) ,
JOBS Act ,
NASD ,
No-Action Relief ,
REIT ,
Securities and Exchange Commission (SEC) ,
Strategic Enforcement Plan
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:
- CME Delays Prohibition on Transitory EFRPs
- JAC Issues Guidance on Margin Funds
- CFTC Hands Out First Whistleblower Award
- NFA Adopts Fee for Registration...more
5/27/2014
/ Broker-Dealer ,
CFTC ,
Chicago Mercantile Exchange (CME) ,
Compliance ,
Disclosure Requirements ,
Energy Sector ,
Enforcement Actions ,
Fees ,
Financial Regulatory Reform ,
Margin Requirements ,
NFA ,
Non-Disclosure Agreement ,
Oil & Gas ,
Securities and Exchange Commission (SEC) ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers
In this issue:
- US Court of Appeals for the District of Columbia Circuit Partially Invalidates Conflict Minerals Rule
- FINRA Proposes Rule 2081 to Prohibit “Bargained-For” Expungements
- SEC Issues FAQs...more
In this issue:
- SEC Roundtable Discusses Cybersecurity Threats and Protections Against Cyberattacks
- Proposed Changes to FINRA Classification of Hybrid Securities for Trade Reporting Purposes
- FINRA...more
3/31/2014
/ CFTC ,
Class Action ,
Class Certification ,
Collateralized Debt Obligations ,
Cyber Attacks ,
Cybersecurity ,
Data Breach ,
Data Protection ,
Financial Industry Regulatory Authority (FINRA) ,
Immigration and Customs Enforcement (ICE) ,
Initial Public Offering (IPO) ,
Securities and Exchange Commission (SEC) ,
Swaps
In this issue:
- FINRA Requests Comment on Proposed Rule Set for Limited Corporate Financing Brokers
- SEC Issues No-Action Relief to Broker Dealers from Financial Responsibility Rule 15c3-3 Amendments
-...more
In this issue:
- CFTC Exempts MTFs from US Registration Requirements
- CFTC Guidance Relating to Trading on SEFs and DCMs
- NFA Issues Notice to Members Regarding Member Obligations Under NFA Bylaw 1101...more
In this issue:
- ISS Updating QuickScore Methodology and Opening Data Validation Period
- First MAT Determinations Are Deemed Certified
- CFTC Interdivisional Working Group to Review Swap...more