SEC/CORPORATE -
SEC Division of Corporation Finance Issues 12 New and Revised C&DIs Regarding Non-GAAP Measures -
As noted in the May 13 edition of Corporate and Financial Weekly Digest, SEC Chair Mary Joe White,...more
5/23/2016
/ Auditors ,
C&DIs ,
Cybersecurity ,
EU ,
Financial Conduct Authority (FCA) ,
Mary Jo White ,
MiFID ,
MiFIR ,
Non-GAAP Financial Measures ,
PCAOB ,
Residual Interest ,
Securities and Exchange Commission (SEC) ,
UK
The Securities and Exchange Commission’s Advisory Committee on Small and Emerging Companies (Committee) met on June 3 to discuss various topics including (1) SEC rules with respect to intrastate crowdfunding; (2) the...more
6/17/2015
/ Acquisitions ,
Business Development ,
Crowdfunding ,
Emerging Growth Companies ,
Financial Markets ,
JOBS Act ,
Mary Jo White ,
Mergers ,
NASAA ,
Rule 147 ,
Safe Harbors ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Small Business
On January 16, Securities and Exchange Commission Chair Mary Jo White announced that she has directed the SEC’s staff (Staff) to review Rule 14a-8(i)(9) promulgated under the Securities Exchange Act of 1934, which allows an...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
On March 12, Mary Jo White, President Obama’s nominee to chair the Securities and Exchange Commission, appeared at her confirmation hearing before the US Senate Committee on Banking, Housing and Urban Affairs....more