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Does The SEC’s Unbundling Rule Deprive Stockholders The Right To Vote On The Whole?

A forthcoming academic paper looks for bundling in more than 1,500 management proposals between 2003 and 2012.  Bundling occurs when multiple matters are combined into a single proposal.  The authors, James Cox, Fabrizio...more

SEC Adopts Final Rules to Implement "Regulation A+"

As part of its mandate under the JOBS Act to facilitate capital raises by smaller companies and emerging businesses and its continuing effort to broaden the number of investment options for investors, the Securities and...more

Mutual Funds with CFCs: Take Note of BE-10 Reporting Requirements

Mutual funds with Controlled Foreign Corporations may need to file a BE-10 with the Bureau of Economic Analysis or request an extension before the reporting deadline....more

SEC Radically Revamps Regulation A - Part 3

Reporting and Blue Sky Issues - For many years, SEC Regulation A languished as an exemption from registration that nobody really used. Although securities issued in a Regulation A offering are not “restricted...more

Massachusetts Moves to Block Regulation A+

The Secretary of the Commonwealth of Massachusetts has filed a petition for review of Regulation A+. The Secretary is asking that the rule be vacated because it is arbitrary, capricious and not in accordance with the...more

SEC Updates EDGAR for Regulation A+

The SEC has updated its EDGAR Filer Manual to document changes being made to accommodate Regulation A+ under the JOBS Act. EDGAR will be updated to add Regulation A submission form types DOS, DOS/A, DOSLTR, 1-A, 1-A/A,...more

Proxy Access – Week of May 17 – The Trend Is Less Clear

During the week of May 17, 2015, 8-Ks were filed that disclosed six shareholder sponsored proxy access proposals passed and five failed. All required three percent ownership for three years and all were opposed by the...more

SEC Proposes Rules Affecting Funds and Advisers

Proposals would impose new disclosure requirements designed to enhance the SEC’s ability to monitor the industry. On May 20, the US Securities and Exchange Commission (SEC) unanimously approved proposals intended to...more

SEC Proposes Rules Imposing Additional Reporting and Recordkeeping Requirements for Investment Advisers

On May 20, 2015, the SEC announced proposals to modify and increase the amount of information that it collects from investment companies (“ICs”) and investment advisers (“IAs”) and to create new rules that impose additional...more

Reporting Requirement for All U.S. Persons That Hold Interests in Foreign Affiliates

Pursuant to the requirements of the International Investment and Trade and Services Survey Act and related statutes, the U.S. Department of Commerce’s Bureau of Economic Analysis (BEA) collects information on international...more

SEC Equity Market Structure Advisory Committee: Assessing Complexity in the U.S. Equity Markets

On May 13, 2015, the Equity Market Structure Advisory Committee (the “EMSAC” or “Committee”) held its inaugural meeting (the “Inaugural Meeting”) at the Securities and Exchange Commission (the “Commission” or “SEC”) in...more

U.S. Money Market Fund Reform: Form N-CR and Related Website Disclosure Compliance Deadline Quickly Approaching

The July 14, 2015 compliance date for certain new money market fund reporting and disclosure requirements adopted by the U.S. Securities and Exchange Commission (SEC) is quickly approaching. In particular, money market funds...more

[Webinar] Peeling Back the Curtain: Working with Your Legal Department to Optimize Your Relationship With Your Outside Law Firms -...

The pressure between managing external legal costs and efficient execution of your company’s legal tasks while maintaining a successful relationship with your outside law firms can be a challenge. In this webinar, we examine...more

Locke Lord QuickStudy: OCC Integrates Licensing Rules for National Banks and Federal Savings Associations

On May 18, 2015, the Office of the Comptroller of the Currency (OCC) released a final rule to integrate the policies and procedures for corporate activities and transactions of national banks and Federal savings associations....more

May 29th Filing Requirement for U.S. Companies with Foreign Affiliates

U.S. Companies with foreign subsidiaries and other affiliates are required to report to the U.S. Department of Commerce Bureau of Economic Analysis (BEA) by May 29 or June 30, 2015, depending on the number of foreign...more

EU Securities – Proposed Settlement System to Facilitate London Listings of US Companies

Historically, due to certain restrictions under US securities laws, equity securities of US companies and other companies that do not qualify as “foreign private issuers” under US securities laws (collectively, “US-Based...more

Financial Services Weekly News Roundup - May 2015 #3

SEC Proposals to Enhance Investment Company and Investment Adviser Reporting: As we went to press, the SEC commissioners announced that they had voted to approve two proposals. The first was for new and amended rules and...more

Amendments to Spanish Corporate Laws Add Flexibility to Bond Issuances by Spanish Companies

New rules relax certain structural and procedural legal restrictions, helping Spanish companies access debt capital markets. On 27 April 2015, the Spanish parliament passed Law 5/2015, of 27 April, of corporate finance...more

Deadline Looming for BE-10 Filing

- Mandatory reporting required by the Bureau of Economic Analysis on Form BE-10 – 2014 Benchmark Survey of U.S. Direct Investment Abroad - Investment managers, general partners, hedge funds and private equity funds are...more

California’s Other Investment Adviser Law

California’s Corporate Securities Law of 1968 defines and provides for the comprehensive regulation of most, but not all, investment advisers.  Some investment advisers are subject to an entirely different law found in the...more

SEC Approves Proposals to Modernize and Enhance Reporting Regime for Registered Funds and Investment Advisers

Yesterday, the Securities and Exchange Commission (“SEC”) unanimously approved two recommendations by the SEC’s Division of Investment Management to modernize and enhance the reporting regime for registered investment funds...more

KISS the SAFE Goodbye? Another Alternative for Start-up Financing

Only recently, we debated the merits of the SAFE (Simple Agreement for Future Equity), an alternative funding mechanism for early-stage companies designed to replace the industry-standard convertible note financing....more

Attention Those With Foreign Affiliates: The Form BE-10 Deadline Is Coming Up

Every five years, the Bureau of Economic Analysis conducts the Benchmark Survey of U.S. Direct Investment Abroad. This mandatory survey collects financial and operational data on U.S. parent companies and their foreign...more

Cooperative Capital Markets Regulatory System Delayed by One Year

On April 16, 2015, the council of ministers (Council) for the proposed cooperative capital markets regulatory system (Cooperative System) announced that the Cooperative System is now expected to be operational by the fall of...more

Start-up Crowdfunding Exemption Adopted In Certain Canadian Jurisdictions

The Canadian Securities Administrators (“CSA”) and securities regulators of British Columbia, Saskatchewan, Manitoba, Quebec, New Brunswick and Nova Scotia (the “participating jurisdictions”), announced on May 14, 2015, the...more

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