SEC/CORPORATE -
SEC Proposes Amendments to Financial Disclosure in Regulation S-K and Issues New Guidance -
On January 30, the Securities and Exchange Commission voted to propose amendments to certain financial...more
2/11/2020
/ AML/CFT ,
Antitrust Provisions ,
Broker-Dealer ,
CFTC ,
Corporate Governance ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
European Securities and Markets Authority (ESMA) ,
Federal Trade Commission (FTC) ,
Financial Industry Regulatory Authority (FINRA) ,
Hart-Scott-Rodino Act ,
MD&A Statements ,
New Guidance ,
Performance Standards ,
Publicly-Traded Companies ,
Regulation S-K ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Threshold Requirements
BROKER-DEALER -
SEC Chairman Clayton and Trading and Markets Director Redfearn Call for a Reassessment of Regulation NMS -
On March 8, US Securities and Exchange Commission chairman Jay Clayton and director, Division...more
3/11/2019
/ Alternative Trading System (ATS) ,
Antitrust Provisions ,
Basel Committee on Banking Supervision (BCBS) ,
Broker-Dealer ,
CFTC ,
Derivatives ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Hart-Scott-Rodino Act ,
IOSCO ,
ISDA ,
Margin Requirements ,
MiFIR ,
National Futures Association ,
No-Deal Brexit ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Regulation NMS ,
Securities and Exchange Commission (SEC) ,
Stock Exchange ,
Truth in Lending Act (TILA) ,
UK Brexit
BROKER-DEALER -
FINRA Proposes Rule Change To Provide Additional Hearing Options for Parties in Certain Arbitrations -
On January 30, the Financial Industry Regulatory Authority filed a proposed rule change with the...more
SEC Updates to Form PF FAQs -
On January 18, the Securities and Exchange Commission’s Division of Investment Management updated its Form PF FAQs. Registered investment advisers managing private funds with at least $150...more
1/30/2017
/ Article 50 Treaty of the EU ,
Asset Management ,
EU ,
Form PF ,
Hart-Scott-Rodino Act ,
IOSCO ,
MSRB ,
Regulation AT ,
Residual Interest ,
Threshold Requirements ,
UK ,
UK Brexit
On January 21, the Federal Trade Commission (FTC) announced the new filing thresholds that will apply to mergers and acquisitions under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended (the HSR Act). The...more
SEC/CORPORATE -
SEC Settles With Adviser That Allegedly Overcharged Management Fees and Misled Investors -
On January 19, the Securities and Exchange Commission announced that it had settled with Equinox Fund...more
On January 21, the Federal Trade Commission published new notification and filing fee thresholds under the Hart-Scott-Rodino Antitrust Improvements Act of 1976 (HSR Act). The revised thresholds will apply to all mergers and...more
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