The Financial Industry Regulatory Authority released Regulatory Notice 15-50, which discusses the Securities and Exchange Commission’s approval of amendments to FINRA Rule 2210 (Communications with the Public). The amendments...more
SEC/CORPORATE -
FAST Act Legislation and Impact on Securities Law -
On December 4, President Obama signed into law the Fixing America’s Surface Transportation Act (FAST Act). This transportation bill includes...more
BROKER-DEALER -
FINRA Requests Comment on Revised Price Disclosure Information Standards for Corporate and Agency Debt Securities -
The Financial Industry Regulatory Authority issued a regulatory notice...more
10/19/2015
/ AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Broker-Dealer ,
CFTC ,
Commodity Exchange Act (CEA) ,
Debt Securities ,
Disclosure Requirements ,
Dividends ,
EU ,
European Commission ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Regulatory Reform ,
Investment Funds ,
NFA ,
No-Action Relief ,
OCC ,
Proposed Regulation ,
Swaps ,
Withholding Tax
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:
- Delaware Proposal Banning Fee-Shifting and Permitting Exclusive Forum Provisions
- SEC Charges Insiders for Failure to Update Schedule 13D Disclosures
- CBOE Proposes Amendments to...more
3/23/2015
/ AML/CFT ,
Bylaws ,
CFTC ,
Criminal Background Checks ,
Cybersecurity ,
Delaware General Corporation Law ,
Derivatives ,
Disclosure Requirements ,
Exclusive Forum ,
FATCA ,
Fee-Shifting ,
FinCEN ,
Hong Kong ,
Insider Trading ,
Regulation SHO ,
Securities and Exchange Commission (SEC)
On November 17, the Financial Industry Regulatory Authority, Inc. and the Municipal Securities Rulemaking Board (MSRB) released companion proposals that would require disclosure of pricing reference information in customer...more
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