Michelle Griswold.

Michelle Griswold.

Katten Muchin Rosenman LLP

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SEC Issues New FAQs on Conflict Minerals

On April 7, the Division of Corporation Finance of the Securities and Exchange Commission issued nine new responses to frequently asked questions regarding the disclosure of conflict mineral usage that is required by rules...more

4/15/2014 - Audits Conflict Mineral Rules Disclosure Requirements Dodd-Frank SEC

Corporate and Financial Weekly Digest - Volume IX, Issue 15

In this issue: - SEC Issues New FAQs on Conflict Minerals - SEC Issues Frequently Asked Questions Regarding the Amendments to the Broker-Dealer Reporting Rule - FINRA Requests Comment on Rules Regarding...more

4/14/2014 - Broker-Dealer CFTC Collateralized Loan Obligations Conflict Mineral Rules FINRA Leverage Capital Ratio MTFs SEC Swaps

OTC Markets Proposes Amendments to OTCQX Rules and New Rules for US Banks

On February 13, OTC Markets Group (OTC) proposed amendments to the OTCQX Rules for both US and international companies. The OTCQX is the highest market tier for over-the-counter trading on the OTC Markets. These proposed...more

2/25/2014 - Banks Cross-Border Eligibility OTC

Corporate and Financial Weekly Digest - Volume IX, Issue 8

In this issue: - OTC Markets Proposes Amendments to OTCQX Rules and New Rules for US Banks - SEC Approves Changes to FINRA BrokerCheck Disclosure Rule 8312 - SEC to Examine Never-Before Examined...more

2/24/2014 - Bank Holding Company Banking Sector Broker-Dealer Disclosure Requirements Dodd-Frank Federal Reserve Financial Regulatory Reform FINRA Foreign Banks Investment Adviser IRS OTC SEC Tax Preparers Tax Returns

SEC Division of Corporation Finance Issues 11 New C&DIs

On November 13, the Securities and Exchange Commission’s Division of Corporation Finance issued two new Compliance and Disclosure Interpretations (C&DIs) on Rule 144A under the Securities Act of 1933 (Securities Act) and nine...more

11/19/2013 - Advertising Compliance Crowdfunding General Solicitation JOBS Act Rule 144A Rule 506 Offerings SEC Securities Act of 1933

New York Stock Exchange Proposes New Rules to Harmonize Quantitative Continued Listing Standards and Modify Reverse Merger Listing...

On October 8, the New York Stock Exchange proposed an amendment to Section 802.01B of the NYSE Listed Company Manual that would apply the same financial compliance standards for continued listing on the NYSE to all operating...more

10/15/2013 - Listing Standards NYSE Reverse Mergers SEC

Delaware Court of Chancery Upholds Forum Selection Provisions in Bylaws

Over the last several years, a number of companies have included in their certificates of incorporation or bylaws exclusive forum selection provisions. These provisions generally require that derivative actions and other...more

7/2/2013 - Board of Directors Bylaws Corporate Governance Forum Selection Clause

SEC Advisory Committee on Small and Emerging Companies Makes Recommendations

On March 21, the Securities and Exchange Commission Advisory Committee on Small and Emerging Companies (Advisory Committee) submitted several recommendations to the SEC on rules, regulations and policies relating to emerging...more

4/9/2013 - Dodd-Frank Equity Markets Privately Held Corporations SEC SEC Advisory Committee Small Business Trading Recommendations

Recent SEC Speeches Focus on Investor Protection and Disclosure

Members of the Securities and Exchange Commission have recently given several speeches in which they expressed their views (sometimes inconsistent) as to investor protection and disclosure to investors in SEC filings....more

3/6/2013 - Disclosure Requirements Investors SEC

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