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Corporate and Financial Weekly Digest - Volume XII, Issue 39

SEC/CORPORATE - SEC Announces Rule Proposal to Modernize, Simplify and Increase the Accessibility of Required Disclosure - On October 11, the Securities and Exchange Commission issued a press release announcing that it...more

Corporate and Financial Weekly Digest - Volume XII, Issue 38

SEC/CORPORATE - SEC Provides Regulatory Relief to Companies Impacted by Recent Hurricanes - On September 28, the Securities and Exchange Commission (SEC) announced its issuance of an order and its adoption of interim...more

Corporate and Financial Weekly Digest - Volume XII, Issue 37

SEC/CORPORATE - SEC and Division of Corporation Finance Issue New Pay Ratio Disclosure Guidance - On September 21, the Securities and Exchange Commission (SEC) issued an interpretive release (available here) regarding...more

Corporate and Financial Weekly Digest - Volume XII, Issue 36

SEC/CORPORATE - Implementation of Pay Ratio Disclosure Requirement Not Expected to Be Delayed - On September 15, at the ABA Business Law Section Annual Meeting, the Securities and Exchange Commission (SEC) Division of...more

Corporate and Financial Weekly Digest - Volume XII, Issue 35

SEC/CORPORATE - SEC Commissioners Announce Search for First-Ever Advocate for Small Business Capital Formation - On September 13, the Commissioners of the Securities and Exchange Commission (SEC) announced the launch of...more

Corporate and Financial Weekly Digest - Volume XII, Issue 33

SEC/CORPORATE - SEC Division of Corporation Finance Issues New and Updated C&DIs on Omission of Financial Information from Draft Registration Statements - Since the adoption of the Fixing America’s Surface...more

Corporate and Financial Weekly Digest - Volume XII, Issue 31

CFTC - CFTC Suspends Need of Formal Notice for Position Disaggregation Relief - On August 10, the Commodity Futures Trading Commission (the CFTC) issued no-action relief, eliminating the need for certain persons...more

Corporate and Financial Weekly Digest - Volume XII, Issue 30

BROKER-DEALER - FINRA and SIPC Agree To Streamline the Annual Report Filing Process for Broker-Dealers - On August 1, the Financial Industry Regulatory Authority and the Securities Investor Protection Corporation (SIPC)...more

Corporate and Financial Weekly Digest - Volume XII, Issue 29

BROKER-DEALER - SEC Cautions Securities Laws May Apply to Interests in Virtual Organizations - On July 25, the Securities and Exchange Commission issued a Report of Investigation cautioning that certain offers and sales...more

Corporate and Financial Weekly Digest - Volume XII, Issue 28

SEC/CORPORATE - SEC Chairman Clayton Makes First Public Speech Outlining His Vision for the Commission - On July 12, in his first major address since becoming Chairman of the Securities and Exchange Commission earlier...more

Corporate and Financial Weekly Digest - Volume XII, Issue 27

BROKER-DEALER - Proposed Rule Change Relating To Revisions To the Definition of Non-public Arbitrator - On July 11, the Financial Industry Regulatory Authority filed a proposed rule amendment to change the definition of...more

Corporate and Financial Weekly Digest - Volume XII, Issue 26

SEC/CORPORATE - SEC Expands Nonpublic Review of Draft Registration Statements - On June 29, the Division of Corporation Finance (Division) of the Securities and Exchange Commission announced that, beginning on July 10,...more

Corporate and Financial Weekly Digest - Volume XII, Issue 25

SEC/CORPORATE - NYSE Withdraws Proposed Rule to Allow Listing Without an IPO - On June 19, the New York Stock Exchange (NYSE) filed a notice withdrawing its proposed rule that would have allowed companies to list on the...more

Corporate and Financial Weekly Digest - Volume XII, Issue 24

BROKER-DEALER - FINRA Proposes to Make New TRACE Security Activity Reports Available - On June 19, the Financial Industry Regulatory Authority filed a proposed rule amendment that would make new Trade Reporting and...more

Corporate and Financial Weekly Digest - Volume XII, Issue 23

SEC/CORPORATE - SEC Updates to Form ADV FAQs - On June 12, the staff of the Securities and Exchange Commission’s Division of Investment Management updated its Frequently Asked Questions on Form ADV and IARD. Much of the...more

Corporate and Financial Weekly Digest - Volume XII, Issue 22

BROKER-DEALER - FINRA Issues Notice Regarding Disruptive Quoting and Trading Activity Rule Changes - On June 7, the Financial Industry Regulatory Authority published Regulatory Notice 17-22, which addresses two rule...more

Corporate and Financial Weekly Digest - Volume XII, Issue 21

SEC/CORPORATE - Delaware Chancery Court Decision Demonstrates Continuing Risk to “Appraisal Arbitrage” In a stark application of the adage that one should be careful what one wishes for—because one may get it—on May 30,...more

Corporate and Financial Weekly Digest - Volume XII, Issue 20

New FX Code of Conduct - The Foreign Exchange Working Group (FXWG), operating under the auspices of the Bank for International Settlements, has published a final version of its “FX Global Code” (the “Code”), a code of...more

Corporate and Financial Weekly Digest - Volume XII, Issue 17

SEC/CORPORATE - On May 4, Jay Clayton was sworn into office as the new chairman of the Securities and Exchange Commission. As discussed in the January 6 edition of the Corporate & Financial Weekly Digest, Mr. Clayton was a...more

Corporate and Financial Weekly Digest - Volume XII, Issue 15

CFTC - CFTC Extends Previously Granted No-Action Relief for Swap Dealers Complying With EU Requirements - On April 18, the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight...more

4/24/2017  /  CME , EU , MiFID II , No-Action Relief , SEFs , UK , UK Brexit

Corporate and Financial Weekly Digest - Volume XII, Issue 14

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

Corporate and Financial Weekly Digest - Volume XII, Issue 13

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

Corporate and Financial Weekly Digest - Volume XII, Issue 12

BROKER-DEALER - FINRA Issues Regulatory Notice on GASB Accounting Support Fee - The Financial Industry Regulatory Authority announced that it will collect a total of $8,309,000 in 2017 from its member firms as part...more

Corporate and Financial Weekly Digest - Volume XII, Issue 11

SEC Adopts Amendment to Shorten Settlement Cycle for Securities Transactions - On March 22, the Securities and Exchange Commission adopted an amendment to Rule 15c6-1(a) that shortens the standard settlement cycle for...more

Corporate and Financial Weekly Digest - Volume XII, Issue 10

CFTC Extends Public Comment Period for Swap Dealers and Major Swap Participants Minimum Capital Requirement Proposal - On March 16, the Commodity Futures Trading Commission published in the Federal Register its decision...more

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