Erik Franks

Wilson Sonsini Goodrich & Rosati

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SEC Adopts Rule Amendments Requiring Increased Disclosure of Short Selling and Securities Lending Activities of Institutional...

On October 13, 2023, the U.S. Securities and Exchange Commission (SEC) approved final rules requiring increased disclosure of short selling activities of institutional investment managers and securities lending activities of...more

10/26/2023 / Broker-Dealer , Enforcement Actions , Investment Adviser , Securities , Securities and Exchange Commission (SEC) , Securities Regulation , Securities Transactions , Short Selling

Accelerated Share Repurchase (ASR) Programs to Be Impacted by Proposed Changes to Rule 10b5-1 and Share Repurchase Disclosure...

On December 15, 2021, the U.S. Securities and Exchange Commission (SEC) proposed amendments to Rule 10b5-1 along with related amendments intended to "modernize" public company disclosure of share repurchase activity. If...more

1/13/2022 / 10b5-1 Plans , Corporate Governance , Disclosure Requirements , Proposed Amendments , Publicly-Traded Companies , Securities and Exchange Commission (SEC) , Securities Regulation , Stock Repurchases

CFTC Extends Deadline to Comply with Certain Trading Documentation Requirements Under Dodd-Frank for Corporate End-Users of...

In late June 2013, the Commodity and Futures Trading Commission (CFTC) issued a no-action letter extending the period for certain corporate end-users of foreign exchange (FX) derivative transactions to comply with the trading...more

7/5/2013 / CFTC , Dodd-Frank , FX Swaps , ISDA , Major Swap Participants , No-Action Letters , Required Documentation , Swap Dealers

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