SEC/CORPORATE -
DC Circuit Court Rejects States’ Challenge of Blue Sky Preemption Under Regulation A+ -
On June 14, the Federal Court of Appeals for the District of Columbia (the DC Circuit) rejected challenges...more
6/20/2016
/ Blue Sky Laws ,
Central Counterparties ,
Credit Default Swaps ,
Derivatives Clearing Organizations ,
Futures ,
Margin Requirements ,
No-Action Relief ,
Preemption ,
Regulation A ,
Reporting Requirements ,
Third Country Entities (TCEs)
On June 16, the Securities and Exchange Commission denied a motion, filed by Monica J. Lindeen, Montana State Auditor, ex officio Commissioner of Securities and Insurance, which sought to stay the effectiveness of new...more
On May 27, the Federal Court of Appeals for the District of Columbia combined lawsuits filed by the commonwealth of Massachusetts and the state of Montana against the Securities and Exchange Commission. The lawsuits seek to...more
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)