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Investing In Georgia: Economic Development Newsletter - August 2013

Welcome to King & Spalding's economic development news bulletin, Investing in Georgia. In this edition, you will find: - A Client Alert regarding recent SEC enforcement actions againsta School District - A new...more

Copy of the 21st Century Glass-Steagall Act of 2013

Full text copy of the 21st Century Glass-Steagall Act of 2013, introduced in the US Senate on July 11, 2013 by Senators Elizabeth Warren (D-MA), John McCain (R-AZ), Maria Cantwell (D-WA), and Angus King (I-ME). From Senator...more

Konczal: Dodd-Frank Reforms Get Roughed Up in Court [Video]

April 11 (Bloomberg Law) -- Mike Konczal, fellow at the Roosevelt Institute and contributor to Bloomberg View, talks with Bloomberg Law's Lee Pacchia about how the implementation of the financial reform laws in Dodd-Frank...more

Should Wall Street Fear Mary Jo White? [Video]

Feb. 1 (Bloomberg Law) -- Mary Jo White has spent decades as both a federal prosecutor and later as outside counsel for many financial institutions. If the Senate confirms her as SEC chair, will Wall Street be facing a lawyer...more

SEC Includes Disclosure Of Corporate Political Spending Rule In Unified Agenda – What Does It Mean?

On August 3, 2011, a group of leading academics, including Harvard Law School Professor Lucian A. Bebchuk, submitted this petition for rulemaking to the Securities and Exchange Commission. The petitioners asked the SEC to...more

Detroit's "Fiscal Cliff" and Michigan's Response

Detroit’s increasingly distressed financial condition has created a dynamic and rapidly evolving situation where the potential of a Chapter 9 filing appears to be the subject of renewed discussion and legislative attention. ...more

ISS Releases 2013 Voting Policy Updates: Two Key Changes on Director Voting Recommendations

On November 16, 2012, Institutional Shareholder Services ("ISS") released its 2013 "Corporate Governance Policy Updates and Process," which will be used in its proxy voting recommendations for this upcoming annual meeting...more

Financial Services Legislative And Regulatory Update -- November 19, 2012

In This Issue: Leading the Past Week; House of Representatives; CFPB; SEC; CFTC; OCC; DOL; International; and Upcoming Hearings. Excerpt from Leading the Past Week Now that the election is behind us (for...more

Can Congress Veto A Rule Adopted By The SEC?

The Small Business Regulatory Enforcement Fairness Act of 1996, P.L. 104-121, March 29, 1996, provides that before a federal agency rule may take effect, the agency must submit to each house of the Congress and to the...more

President Barack Obama’s Win Also a Win for the SEC and the CFTC

The U.S. Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) can breathe a little easier after President Barak Obama’s re-election on Tuesday, November 6, 2012, according to legal...more

Pay-to-Play: Recent SEC Actions Highlight Importance of Compliance Controls

I. Overview - Two recent actions by the U.S. Securities and Exchange Commission (“SEC”) and its staff highlight the importance of compliance controls with respect to political contributions and other political activities. In...more

Financial Services Legislative And Regulatory Update -- October 29, 2012

Kn This Issue: Leading the Past Week; Fiscal Cliff; Legislative Branch; Executive Branch; and Miscellaneous. Excerpt from Leading the Past Week - With less than two weeks remaining until the November 6th...more

Financial Services Legislative And Regulatory Update -- October 8, 2012

In This Issue: Leading the Past Week; Fiscal Cliff; Legislative Branch; Executive Branch; International; and Miscellaneous. Excerpt from Leading the Past Week - With Congress out of session and official...more

A Bad Bill Becomes Law When There Is More Interest In Enacting A Fix Than Fixing the Problem

In 2002, the Legislature enacted AB 55 creating the victims of corporate fraud fund. Since the fund was created, it has collected about $15 million and nearly 800 claims have been submitted. In a devastating article...more

State AGs join lawsuit challenging constitutionality of CFPB

Republican state Attorneys General from Oklahoma, South Carolina and Michigan have now joined the lawsuit that was filed this past June in federal court in Washington, D.C. challenging the constitutionality of Dodd-Frank....more

Financial Services Legislative And Regulatory Update -- September 24, 2012

In This Issue: Leading the Past Week; Fiscal Cliff; Legislative Branch; House of Representatives; Executive Branch; and International. Excerpt from Leading the Past Week As quick as members returned from their...more

SEC Report to Congress on Credit Rating Standardization

The SEC staff has issued a report to Congress on credit rating standardization required by Section 939(h)(1) of the Dodd-Frank Act. The SEC staff recommended that the SEC not take any further action at this time with respect...more

SEC Risk Alert on Pay-to-Play and MSRB

On August 31, the SEC issued an alert on compliance with MSRB Rule G-37, which limits political contributions by municipal securities professionals to campaigns of public officials of issuers with whom they are doing or seek...more

SEC Asks Congress For Increased Authority To Regulate Muni Bond Market

In its recently-released Report on the Municipal Securities Market, the Securities and Exchange Commission asked Congress to increase the SEC’s authority to regulate the municipal securities market, which it described as...more

Financial Services Legislative And Regulatory Update -- August 6, 2012

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; Miscellaneous; International; and Upcoming Hearings. Excerpt from Leading the Past Week - Members of Congress left town at the end of...more

Bipartisan Bill Introduced in U.S. Senate to Authorize SEC to Impose Larger Penalties

On July 23, Senators Charles Grassley (R-IA) and Jack Reed (D-RI) introduced S.3416, the Stronger Enforcement of Civil Penalties Act of 2012 (the Bill), in the U.S. Senate, which seeks to increase the statutory limits that...more

Investment Advisors Would Pay For Some SEC Oversight

Congress continues to struggle with the issue of proper oversight for investment advisors. Despite catastrophes like the Bernie Madoff scheme, SEC budget constrictions have resulted in only a handful of investment advisors...more

Financial Services Legislative And Regulatory Update -- July 30, 2012

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; Miscellaneous; and Upcoming Hearings. Excerpt from Leading the Past Week - With many of the world’s eyes turning to London this...more

Financial Services Legislative And Regulatory Update -- July 23, 2012

In This Issue: Leading the Past Week; Legislative Branch; House of Representatives; Executive Branch; Miscellaneous; and Upcoming Hearings. Excerpt from Leading the Past Week - Last week marked the second...more

Financial Services Legislative And Regulatory Update -- July 16, 2012

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week Last week provided an excellent frame by which to view the current political...more

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