SEC/CORPORATE -
SEC Proposes To Expand “Test-the-Waters” Reforms to All Issuers -
On February 19, the Securities and Exchange Commission proposed Rule 163B under the Securities Act of 1933, which would permit any...more
3/4/2019
/ CFTC ,
Corporate Issuers ,
Emerging Growth Companies ,
EU ,
Financial Conduct Authority (FCA) ,
JOBS Act ,
Litigation Funding ,
MiFIR ,
Proposed Rules ,
Qualified Institutional Buyers ,
Regulation FD ,
Securities and Exchange Commission (SEC) ,
Testing-the-Waters Communications ,
UK ,
UK Brexit
SEC/CORPORATE -
SEC Division of Corporation Finance Provides Update on Conflict Minerals Rule -
On April 7, the Securities and Exchange Commission Division of Corporation Finance (the Division) issued a statement...more
4/17/2017
/ AML/CFT ,
C&DIs ,
Conflict Mineral Rules ,
Crowdfunding ,
Form SD ,
Futures Commission Merchants (FCMs) ,
Guidance Update ,
JOBS Act ,
No-Action Letters ,
Sanctions ,
UK Brexit
SEC/CORPORATE -
SEC Adopts Technical Amendments to JOBS Act Rules
On March 31, the Securities and Exchange Commission adopted technical amendments to rules adopted by the SEC under the Jumpstart Our Business...more
SEC/CORPORATE -
SEC Approves Amendments to Implement Provisions of the JOBS Act and FAST Act -
On May 3, the Securities and Exchange Commission approved amendments to revise certain rules under the Securities...more
SEC/CORPORATE -
SEC Publishes Concept Release Regarding Business and Financial Disclosure -
On April 13, the Securities and Exchange Commission published a concept release, recommended by the SEC’s Division of...more
SEC/CORPORATE -
SEC To Hold Forum on Small Business Capital Formation in November -
On October 21, the Securities and Exchange Commission announced that it will hold its annual Government - Business Forum on Small...more
10/26/2015
/ AML/CFT ,
Banks ,
Capital Formation ,
Deposit Insurance ,
EU ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
FDIC ,
JOBS Act ,
Margin Requirements ,
Regulation Technical Standards (RTS) ,
Securities and Exchange Commission (SEC) ,
Small Business ,
Startups ,
Uncleared Swaps
In This Issue:
- Meeting of the SEC Advisory Committee on Small and Emerging Companies
- FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring...more
6/15/2015
/ Bank Fraud ,
Bank of England ,
British Bankers' Association ,
Business Development ,
Capital Requirements ,
CFTC ,
Commodity Trading Advisors (CTAs) ,
Crowdfunding ,
Derivatives ,
Disclosure Requirements ,
Diversity ,
Dodd-Frank ,
DSIO ,
Employment Policies ,
Equal Employment Opportunity Commission (EEOC) ,
EU ,
European Banking Authority (EBA) ,
Fair and Effective Markets Review (FEMR) ,
FICC ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Finders ,
GameStop ,
IMF ,
JOBS Act ,
LGBTQ ,
OMWI ,
Privacy Policy ,
Regulation S-K ,
Rule 147 ,
Securities and Exchange Commission (SEC) ,
Small Business ,
Swaps ,
UK ,
World Bank