David Kravitz

David Kravitz

Katten Muchin Rosenman LLP

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Recent Developments Relating to Rights to Exclude Shareholder Proposals from Proxy Statements

A recent court decision and no-action letter have brought to light new issues surrounding issuer requests for Securities and Exchange Commission no-action relief with respect to the ability to exclude shareholder proposals...more

12/16/2014 - Proxy Season Proxy Statements Shareholder Proposals Shareholders Wal-Mart

Corporate and Financial Weekly Digest - Volume IX, Issue 48

In this issue: - Recent Developments Relating to Rights to Exclude Shareholder Proposals from Proxy Statements - SEC Approves MSRB Best Execution Rule - SEC Sanctions Operator of Unregistered Virtual...more

12/15/2014 - Banks Basel Committee Bitcoins Currency Exchange Cybersecurity ESMA EU FCA Insider Trading Investors MiFID MSRB Proxy Season Proxy Statements SEC Shareholder Proposals Shareholders Virtual Currency

US Court of Appeals for the District of Columbia Circuit Grants Petition for Rehearing of Decision on Conflicts Minerals Rule

On November 18, the US Court of Appeals for the District of Columbia Circuit granted the petitions of the Securities Exchange Commission and Amnesty International for a panel rehearing of the lawsuit challenging the SEC’s...more

11/25/2014 - Amnesty International Appeals Conflict Mineral Rules Petition For Rehearing SEC

Corporate and Financial Weekly Digest - Volume IX, Issue 46

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 FinCEN FINRA Fixed Income Investments Forward Contract Exclusion Forward Contracts MSRB Proxy Season Proxy Voting Guidelines SEC Swap Dealers

SEC Investor Advisory Committee Releases Recommendations on Changes to Accredited Investor Definition

On October 9, the Investor Advisory Committee (Committee) established by the Securities and Exchange Commission released its recommendations for changes to the definition of “accredited investor” included in Rule 501...more

10/21/2014 - Accredited Investors Dodd-Frank Information Reports SEC Securities Act of 1933

Corporate and Financial Weekly Digest - Volume IX, Issue 41

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

10/20/2014 - Accredited Investors CFTC Disclosure Requirements EU European Commission FINRA ISS Prudential Regulation Authority Rulemaking Process SEC

SEC Releases Strategic Plan for 2014–2018

Last week, the Securities and Exchange Commission released its Strategic Plan for fiscal years 2014 through 2018, as required by the Government Performance and Results Act Modernization Act of 2010. In the Strategic Plan, the...more

9/30/2014 - SEC Strategic Enforcement Plan

Corporate and Financial Weekly Digest - Volume IX, Issue 38

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 ESMA FCPA FINRA Foreign Official Job Creation New Legislation OECD OTC Ponzi Scheme Rulemaking Process SEC SEFs Small Business Strategic Enforcement Plan

SEC’s Office of Investor Education and Advocacy Releases Alert on Identifying Fraudulent Private Placements

On August 4, the Securities and Exchange Commission’s Office of Investor Education and Advocacy issued an Investor Alert to assist investors in identifying potentially fraudulent private placements. In the Alert, the Office...more

8/19/2014 - Fraud Private Offerings Private Placements Risk Alert SEC Securities Fraud

Corporate and Financial Weekly Digest - Volume IX, Issue 32

In this issue: - SEC’s Office of Investor Education and Advocacy Releases Alert on Identifying Fraudulent Private Placements - ICE Futures U.S. Issues Amendments to EFRP Rule and FAQs - Consumer Financial...more

8/18/2014 - AIFMD Banks Derivative Suit ESMA EU FCA Federal Savings Associations Fraud ICE OCC OCIE PSLRA SEC Securities Fraud Virtual Currency

SEC Chair Mary Jo White Outlines Potential Changes to “Accredited Investor” Definition

On November 14, Securities and Exchange Commission Chair Mary Jo White delivered a letter to Representative Scott Garrett, Chairman of the House of Representatives Subcommittee on Capital Markets and Government-Sponsored...more

11/25/2013 - Accredited Investors JOBS Act SEC Securities Act of 1933

SEC Launches Public Website for Analyzing Exchange Data

On October 9, the Securities and Exchange Commission launched a new website (www.sec.gov/marketstructure) designed to provide investors and other market participants with the ability to analyze market metrics and to access...more

10/15/2013 - Big Data Investors SEC

District Court Rejects Challenge to SEC Conflict Minerals Rule

On July 23, the US District Court for the District of Columbia issued a decision granting the Securities and Exchange Commission’s motion for summary judgment in a challenge to the SEC’s “conflict minerals” rule that was...more

7/30/2013 - Conflict Mineral Rules Dodd-Frank First Amendment Mineral Extraction Resource Extraction SEC

District Court Vacates SEC’s Resource Extraction Issuer Rule

On July 2, the US District Court for the District of Columbia vacated the resource extraction issuer disclosure rule that the Securities and Exchange Commission adopted last year in accordance with mandates under the...more

7/16/2013 - Dodd-Frank Natural Resources Resource Extraction SEC Securities Exchange Act

SEC Issues FAQs on Conflict Minerals and Payments by Resource Extraction Issuers

On May 30, the Division of Corporation Finance of the Securities and Exchange Commission issued responses to frequently asked questions regarding the disclosure of conflict mineral usage and payments by resource extraction...more

6/11/2013 - Conflict Mineral Rules Disclosure Requirements Dodd-Frank Form SD Resource Extraction SEC

NASDAQ Proposes Internal Audit Function Requirement for Listed Issuers

On March 4, the Securities and Exchange Commission published notice that The NASDAQ Stock Market LLC (NASDAQ) had filed a proposed new rule that would require each NASDAQ-listed issuer to maintain an internal audit function....more

3/26/2013 - Internal Audit Functions Nasdaq SEC

Petitioners File Opening Brief Challenging SEC's Conflict Minerals Rule

The National Association of Manufacturers, the Chamber of Commerce of the United States of America and Business Roundtable recently filed their opening brief with the US Court of Appeals for the District of Columbia Circuit...more

2/12/2013 - Chamber of Commerce Conflict Mineral Rules Disclosure Requirements Dodd-Frank National Association of Manufacturers Reporting Requirements SEC

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