Securities Energy & Utilities

Read need-to-know updates, commentary, and analysis on Securities issues written by leading professionals.
News & Analysis as of

Appeals Court Opinion Changes Conflict Minerals Rules Compliance Landscape

On Monday, April 14, 2014, the U.S. Circuit Court of Appeals for the District of Columbia (the DC Circuit) struck down part of the federal rules requiring publicly traded companies to report on their use of “conflict...more

Climate Change Disclosure - Heads I Win, Tails You Lose?

Arjuna Capital, a sustainable wealth management platform, and As You Sow, an environmental corporate responsibility advocacy group, have been advocating for publicly traded companies to assess and disclose the risks that...more

Court Ruling Regarding the Dodd-Frank Conflict Minerals Disclosure Requirements

A panel of the U.S. Court of Appeals for the D.C. Circuit held today that a portion of the SEC’s conflict minerals reporting regulations – and possibly a portion of the underlying Dodd Frank Act – compel speech in violation...more

SEC Issues New FAQs on Conflict Minerals

On April 7, the Division of Corporation Finance of the Securities and Exchange Commission issued nine new responses to frequently asked questions regarding the disclosure of conflict mineral usage that is required by rules...more

Name And Shame No More?

The last few years has seen the rise of so-called “name and shame” laws. The aims of many these laws may be laudable, but yesterday’s decision by the Court of Appeals for the District of Columbia Circuit calls their...more

SEC Staff Issues Additional Guidance on Conflict Minerals

On April 7, 2014, the SEC Division of Corporation Finance (the Division) issued responses to nine frequently asked questions (FAQs) on the reporting requirements regarding conflict minerals originating in the Democratic...more

New SEC Guidance Provides Answers on Conflict Minerals Disclosures

As the deadline approaches for publicly traded U.S. companies to file new conflict minerals reports, the Securities and Exchange Commission (SEC) has issued new guidance designed to help companies prepare the mandatory...more

Dodd-Frank Compliance in a Nutshell

Here are some important Dodd-Frank rules that you need to keep in mind if you are neither a Swap Dealer nor a Major Swap Participant ("Non-SD/MSP"). Clearing - General Rule. Dodd-Frank requires all swaps listed...more

FERC – CFTC Interagency Surveillance and Data Analytics Working Group

The Commodity Futures Trading Commission (“CFTC”) and Federal Energy Regulatory Commission (“FERC”) recently announced the formation of an interagency Surveillance and Data Analytics Working Group as one of the next steps to...more

Cybersecurity Assessments – Using the Tool Well

Are you considering a cybersecurity assessment? If you heard Venable's presentation, "New Cybersecurity Framework Released: What You Need to Know," you might be. The Framework places increased emphasis on...more

Will Congressional Pressure on the CFTC to Share Information With FERC Bear Fruit?

The Federal Energy Regulatory Commission (“FERC”) has identified ferreting out energy market manipulation as a priority in its enforcement efforts. On January 2, 2014, FERC and the U.S. Commodity Futures Trading Commission...more

Fed Seeks Public Comment on Financial Holding Company Physical Commodities Activities

An Advance Notice of Proposed Rulemaking (ANPR) issued in mid-January by the Federal Reserve Board (the Board) seeks public comment on the scope of permissible physical commodities activities. Such activities have been under...more

What To Expect from the Environmental Commodity Markets in 2014

“In the US, there are two regulatory programs that require blenders and refiners to mix a certain percentage of biofuels into their traditional supply of crude oil,” said Brisson. “We’ve seen a number of issues in 2013 with...more

Conflict Minerals: Dodd-Frank, the SEC's Rule...and Beyond

Designed to reduce funding sources for those perpetrating human rights abuses and engaging in armed conflict in the Democratic Republic of the Congo ("DRC") and adjoining countries, Section 1502 of the Dodd-Frank Wall Street...more

Legislative Report – MLP Parity Act

What: The MLP Parity Act (the “Act”) is a bill currently before the U.S. Senate Committee on Finance seeking to expand Section 7704(d) of the Internal Revenue Code (which defines “qualifying income” for publicly traded...more

Junior Mining: OSC Issues Guidance On MD&A Disclosure

On February 6, 2014, the Ontario Securities Commission (“OSC”) released OSC Staff Notice 51-722 Report on a Review of Mining Issuers’ Management’s Discussion and Analysis Guidance (the “Report”). The Report summarizes the...more

The Gift That Keeps On Giving: CFTC’s Misaligned Definition of Forward Contracts Gives Rise to Another Potential Burden on LDCs...

In our recent post, “CFTC Forward vs. Trade Option: LDCs Still Struggle as Trade Option Reporting Deadline Looms,” we discussed the unintended impact of the Dodd-Frank Wall Street Reform and Consumer Protection Act...more

Conflict Minerals Update: D.C. Circuit Hears Oral Arguments

In the Dodd-Frank Act of 2010, Congress required the Securities and Exchange Commission (SEC) to adopt a rule requiring transparency and disclosure regarding the use of “conflict minerals” sourced from the Democratic Republic...more

Public Statements Made In Wake Of Environmental Disaster May Give Rise To Shareholder Securities Claims

When speaking on environmental issues affecting publicly-traded corporations, corporate officers, directors and management should be mindful of potential exposure to liability under the securities laws. After two oil spills...more

Louis Dreyfus Unit Settles FERC Enforcement Action Regarding Alleged MISO FTR Market Manipulation

On February 7, 2014, the Federal Energy Regulatory Commission (FERC) approved a Stipulation and Consent Agreement between the Office of Enforcement (OE) and Louis Dreyfus Energy Services, L.P. (LDES) to resolve an...more

Crude Allegations: Corruption in the Energy Trading Sector

The world-wide energy trading sector, where traders match physical supply and demand of energy by purchasing, reselling, and moving commodities (crude oil and refined products, natural gas, coal, and even electricity) across...more

CFTC Forward vs. Trade Option: LDCs Still Struggle as Trade Option Reporting Deadline Looms

The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) added provisions to the Commodity Exchange Act (“CEA”) regarding the regulatory oversight of swaps transactions that have imposed unintended and...more

Energy Newsletter - February 2014

In This Issue: - Prospects for Development of an Asian LNG Trading Hub: Given the scale of LNG imports into Asia and in light of the efforts of different Asian countries in developing their own LNG trading...more

"EU Derivatives Reporting Obligations Clarified as February 12 Deadline Approaches"

The European Market Infrastructure Regulation (EMIR) requires EU-counterparties to all derivative contracts, whether traded on- or off-exchange, to report certain information and details relating to the trade to a registered...more

2014 Litigation Report: Managing Risk

In This Issue: Introduction; Food and Beverage Products: Managing Mounting Litigation Risk in the Food and Beverage Industry; Procurement Pitfalls: Best Practices to Manage Risk; Securities and Consumer Class Actions:...more

397 Results
|
View per page
Page: of 16

Follow Securities Updates on: