In this issue:
- SEC Posts Small Entity Compliance Guide Regarding Conflict Minerals Disclosure
- SEC Publishes List of Rules to Be Reviewed Over Next 12 Months
- Register for Our 2013 Proxy Season Update Webinar
- CFTC Issues Required Clearing Determination for Certain Credit Default and Interest Rate Swaps
- CFTC Grants Temporary No-Action Relief from Swap Data Reporting Rules
- CFTC Grants Temporary No-Action Relief from Clearing Requirement for Swaps Between Affiliated Counterparties
- CFTC Grants No-Action Relief for Certain Cleared Repo Transactions
- CFTC Requests Comment on CME Swap Data Reporting Rules
- SEC Whistleblower Report Highlights New Program’s Activity and Success
- Second Circuit Denies Investor’s Second Appeal for New Trial
- FinCEN, Federal Reserve Seek Comments on Bank Secrecy Act Definitions
- Federal Reserve, FDIC and OCC Issue Stress Test Requirements
An excerpt from "SEC Publishes List of Rules to Be Reviewed Over Next 12 Months"
On November 28, the Securities and Exchange Commission published a list of rules to be reviewed pursuant to the Regulatory Flexibility Act (RFA). The RFA requires federal agencies to review rules that have a significant impact on a substantial number of small entities within 10 years of the publication of such rules as final rules. The purpose of the review is to determine whether the rules should be continued without change or amended or rescinded in light of the continued need for the rule, the nature of comments received concerning the rule, the complexity of the rule and the extent to which the rule overlaps, duplicates or conflicts with other federal or state rules. Among the rules listed for review by the Staff of the SEC during the next 12 months is Rule 155 adopted under the Securities Act of 1933.
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