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Administrative Agency Securities

Read need-to-know updates, commentary, and analysis on Administrative Agency issues written by leading professionals.

This Week In Securities Litigation

by Dorsey & Whitney LLP on

Heading into a long holiday weekend the Chairman continued to fill out the senior staff of the agency. Peter Uhlmann, a staff veteran who has held several senior management positions, was appointed as Managing Executive in...more

SEC Stays ALJ Cases Subject to 10th Circuit Review

by Burr & Forman on

On Monday, May 22, the SEC stayed all its administrative proceedings assigned to an ALJ in which a Respondent has an option for review by the 10th Circuit. (Securities laws provide appellate review of SEC administrative...more

Amendments to the German Corporate Governance Code for 2017 Published and In Force

by Jones Day on

On 24 April 2017, the Corporate Governance Committee established by the German Federal Government (Regierungskommission Deutscher Corporate Governance Kodex) officially published various amendments to the German Corporate...more

Update On FINRA Regulatory and Examination Priorities

by Bass, Berry & Sims PLC on

In January, FINRA published its 2017 Regulatory and Examination Priorities Letter. As in years past, FINRA noted its ongoing focus on social media and electronic communications retention and supervision and firm's hiring and...more

SEC Enforcement, ALJs and the Appointments Clause

by Dorsey & Whitney LLP on

The future of the SEC’s administrative enforcement process and, in particular its Administrative Law Judges, will be the focus of the D.C. Circuit this week as the Court, sitting en banc to hear oral argument in SEC v Raymond...more

"CFTC Seeks Public Input on Decreasing Burdens of Existing Rules"

On May 3, 2017, the Commodity Futures Trading Commission (CFTC) voted to seek public input on simplifying and modernizing the agency’s rules (Project KISS, 82 Fed. Reg. 21494 (May 9, 2017)). CFTC Acting Chairman J....more

What to Watch for From the New SEC Chairman

Last Thursday, Jay Clayton was officially sworn in as the new Chairman of the Securities and Exchange Commission. As the new Chairman takes office, here are a few things we’re keeping an eye on...more

SEC ALJ Lifts Reg A+ Suspension of Issuer

As we noted here, the SEC temporarily suspended the Tier 2 Regulation A+ offering of Med-X, Inc. The SEC stated it temporarily suspended the offering because Med-X has not filed its annual report on Form 1-K as required by...more

Clayton Sworn in as SEC Chairman

by WilmerHale on

Jay Clayton was sworn in on May 4 as Chairman of the US Securities and Exchange Commission, following his confirmation by the Senate on May 2 by a 61 to 37 vote. While Chairman Clayton has not announced an agenda for his...more

2016 Could Be Peak SEC

2016 was a high-water mark for SEC enforcement activity; however, with the uncertainties associated with the new administration’s enforcement regime, we could be seeing a downturn going forward. According to a recent report...more

Administrative Law Judge Rules Against SEC In Insider Trading Case

by Shearman & Sterling LLP on

On April 18, 2017, Securities and Exchange Commission (“SEC” or “Commission”) Administrative Law Judge (“ALJ”) James Grimes dismissed an administrative proceeding instituted by the Commission against Georgia real estate...more

US Commodity Futures Trading Commission Appoints Head of Enforcement and New Chief Market Intelligence Officer

by Shearman & Sterling LLP on

US Commodity Futures Trading Commission Acting Chairman J. Christopher Giancarlo announced the appointment of federal prosecutor James McDonald as the agency’s new Director of Enforcement. Mr. McDonald, who was most recently...more

US Commodity Futures Trading Commission Appoints First Chief Market Intelligence Officer

by Shearman & Sterling LLP on

The US Commodity Futures Trading Commission announced that Andrew B. Busch had been named the CFTC’s first Chief Market Intelligence Officer...more

Minibonds

by Miles & Stockbridge P.C. on

The City of Cambridge, Massachusetts recently sold $2,000,000 of community sourced-minibonds (the “Community Bonds”) to finance various capital projects, including school building renovations and street and sidewalk...more

Departing Federal Reserve Governor Tarullo Gives Speech Supporting Strong Capital Requirements and Criticizing the Volcker Rule

by Shearman & Sterling LLP on

Daniel Tarullo’s resignation from the US Federal Reserve Board became effective, and he was succeeded by Governor Powell as the Chairman of the Board of Governors’ Committee on Supervision and Regulation...more

Circuits Split Over Constitutionality of SEC’s Administrative Law Judges

by Carlton Fields on

The Tenth Circuit Court of Appeals, in Bandimere v. SEC, recently held that the SEC’s administrative law judges (ALJs) are “inferior officers” whose appointments violate the Appointments Clause of the U.S. Constitution...more

Financial Regulatory Agenda for 2017 and onwards

by DLA Piper on

We bring to you the Financial Regulatory Agenda for 2017 and onwards in the Netherlands and in Europe. Download and keep up to date with the most important dates. Please see full Calendar below for more information....more

DOL Finalizes Delay of Fiduciary Rule

by Tucker Arensberg, P.C. on

The DOL has finalized regulations extending the applicability date from April 10 to June 9, 2017, for the new “Fiduciary Rule,” which defines who is a fiduciary under ERISA and the tax code. The new regulations will be...more

Let's Talk Municipal Finance - Issuing Bonds

by PretiFlaherty on

In my previous installment, I discussed several financing alternatives available to municipalities and certain other governmental entities to supplement revenues from their tax base or user fees. One common option is the...more

Hold the Phone: SEC Takes One Last Stand Before the Tenth Circuit regarding the Constitutionality of the SEC’s Administrative Law...

Last week, the United States Securities and Exchange Commission filed a petition for rehearing en banc with the Tenth Circuit Court of Appeals, imploring the court to reconsider a divided panel’s ruling on the...more

FINRA Dismisses Insider Trading Charges

by Shearman & Sterling LLP on

On March 13, 2017, Financial Industry Regulatory Authority’s (“FINRA”) National Adjudicatory Council (the “NAC”) affirmed a hearing panel’s finding that Matthew Joseph Sheerin, a trader formerly with investment firm Angelo...more

European Commission Launches Portal for Better Regulation

by Shearman & Sterling LLP on

The European Commission launched a new portal through which feedback can be provided on proposed EU legislation and initiatives. The portal is part of the Commission’s Better Regulation agenda...more

Ninth Circuit Joins Second Circuit in Adopting Broad Definition of “Whistleblower” Under The Dodd-Frank Act

by Dechert LLP on

A divided panel of the U.S. Court of Appeals for the Ninth Circuit recently ruled in Somers v. Digital Realty Trust Inc. that the Dodd-Frank Act’s definition of “whistleblower” includes not only those who disclose information...more

The SEC’s Proposed Changes to Rule 15c2-12 Could Have Far-Reaching Impact on Issuers and Obligors of Municipal Securities

by Foley & Lardner LLP on

On March 1, 2017, the Securities and Exchange Commission (“SEC”) issued Release No. 34-80130 (the “Release”) proposing several amendments to its Rule 15c2-12 (the “Rule”) that would add two new events to the list of events...more

"Key Takeaways: Recent Investment Management Litigation and Regulatory Developments"

On February 28, 2017, Skadden hosted a webinar titled “Recent Investment Management Litigation and Regulatory Developments.” The Skadden panelists were litigation partners Eben Colby and Seth Schwartz, securities enforcement...more

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