SEC Division of Corporate Finance Issues New CD&Is Relating to General Solicitation and Regulation D -
On August 6, the Staff of the Division of Corporate Finance of the Securities and Exchange Commission (Staff)...more
8/17/2015
/ Banking Sector ,
Broker-Dealer ,
CD&I ,
CFTC ,
Derivatives ,
EFTA ,
EU ,
Exemptive Relief ,
Federal Reserve ,
General Solicitation ,
Major Swap Participants ,
Regulation D ,
Securities and Exchange Commission (SEC) ,
Shadow Banking ,
Small Business ,
Small Business Enterprise and Employment Act ,
UK
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
SEC to Consider Adoption of Pay Ratio Disclosure Rules at August 5 Opening Meeting -
On July 29, the Securities and Exchange Commission, pursuant to a “Sunshine Act” notice, stated that it will hold an open meeting on...more
8/3/2015
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Disclosure Requirements ,
EU ,
European Securities and Markets Authority (ESMA) ,
Foreign Jurisdictions ,
Investment Management ,
Jurisdiction ,
Pay Ratio ,
Remuneration ,
Securities and Exchange Commission (SEC) ,
Sunshine Act ,
UCITS
In This Issue:
- Meeting of the SEC Advisory Committee on Small and Emerging Companies
- FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring...more
6/15/2015
/ Bank Fraud ,
Bank of England ,
British Bankers' Association ,
Business Development ,
Capital Requirements ,
CFTC ,
Commodity Trading Advisors (CTAs) ,
Crowdfunding ,
Derivatives ,
Disclosure Requirements ,
Diversity ,
Dodd-Frank ,
DSIO ,
Employment Policies ,
Equal Employment Opportunity Commission (EEOC) ,
EU ,
European Banking Authority (EBA) ,
Fair and Effective Markets Review (FEMR) ,
FICC ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Finders ,
GameStop ,
IMF ,
JOBS Act ,
LGBTQ ,
OMWI ,
Privacy Policy ,
Regulation S-K ,
Rule 147 ,
Securities and Exchange Commission (SEC) ,
Small Business ,
Swaps ,
UK ,
World Bank
In This Issue:
- SEC Staff Releases Analysis Related to Pay Ratio Disclosure Rules
- States Challenge Blue Sky Preemption Under Regulation A+
- FINRA Proposes Revised BrokerCheck Hyperlink Rule
-...more
6/8/2015
/ Blue Sky Laws ,
BrokerCheck ,
Capital Markets ,
CFTC ,
Clawbacks ,
Disclosure Requirements ,
EU ,
European Commission ,
Executive Compensation ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Hedge Funds ,
Investment Adviser ,
National Futures Association ,
NFA ,
Preemption ,
Public Comment ,
Regulation A ,
Securities and Exchange Commission (SEC) ,
Total Shareholder Return (TSR)
In This Issue:
- NYSE Amends "Late Filer Rule"
- CFTC Responds to District Court's Remand Order on Certain Cross-Border Swaps Rules
- Delaware Chancery Court Addresses Proper Purpose for Inspection...more
3/16/2015
/ CFTC ,
Cross-Border Transactions ,
Enforcement ,
Enforcement Actions ,
EU ,
European Securities and Markets Authority (ESMA) ,
Inspection Rights ,
Late Filer Rule ,
MiFID II ,
NYSE ,
Securities and Exchange Commission (SEC) ,
Swaps ,
Whistleblowers
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:
- SEC Sets October 2015 Target Date for Certain Dodd-Frank and JOBS Act Rulemaking
- FINRA Issues Notice on TRACE Trade Reporting Obligations
- NFA Issues Guidance on Exempt and Excluded...more
12/8/2014
/ AIFM ,
Bank Secrecy Act ,
Banks ,
Bitcoin ,
BitLicense ,
C-Suite Executives ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Dodd-Frank ,
Enforcement Actions ,
EU ,
EU Data Protection Laws ,
False Statements ,
FFIEC ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Funds ,
JOBS Act ,
NFA ,
OCC ,
Proposed Amendments ,
Regulatory Standards ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
TRACE ,
Whistleblower Awards
In this issue:
- ISS Announces Launch of QuickScore 3.0
- SEC Provides Relief to GSEC From Rule 204 Close-Out Requirements
- CFTC Extends Relief to FCMs from Certain Commingling Requirements
-...more
11/3/2014
/ Banks ,
CCPs ,
CFTC ,
Class Action ,
Commingling ,
Commodities ,
Compliance ,
EMIR ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Fixed Income Investments ,
Flood Insurance ,
Foreign Banks ,
Foreign Exchanges ,
Futures Commission Merchants (FCMs) ,
Institutional Shareholder Services (ISS) ,
OCC ,
Risk Retention ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
UK
In this issue:
- ISS Launches New Equity Plan Data Verification Portal
- ISDA Publishes Protocol for 2014 Credit Derivatives Definitions
- FinCEN Issues Advisories for US Financial Institutions
-...more
8/25/2014
/ CFTC ,
Class Action ,
Class Certification ,
Compliance ,
Contests & Promotions ,
Derivatives ,
EMIR ,
Equity Plans ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
FinCEN ,
Fraud ,
Institutional Shareholder Services (ISS) ,
ISDA ,
Judge Rakoff ,
OCC ,
Rule 10(b) ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
SEFs ,
Social Media ,
Swap Dealers ,
Swaps