European Union Securities & Exchange Commission

The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of... more +
The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of WWII. The EU maintains a common currency as well as several intranational institutions, including the European Parliament and the European Commission. less -
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Corporate and Financial Weekly Digest - Volume XI, Issue 20

SEC/CORPORATE - SEC Division of Corporation Finance Issues 12 New and Revised C&DIs Regarding Non-GAAP Measures - As noted in the May 13 edition of Corporate and Financial Weekly Digest, SEC Chair Mary Joe White,...more

The Digital Download - Alston & Bird’s Privacy & Data Security Newsletter – May 2016

Special Focus on “Safe Harbor 2.0,” Privacy Shield and E.U. Data Transfers: Alston & Bird’s privacy team has been closely following the development of Privacy Shield, the proposed successor to the E.U.-U.S. Safe Harbor...more

Five on Friday – Five Recent Developments that We’ve Been Watching Closely - April 2016 #2

It’s Friday and time for another overview of developments in the field of business and human rights that we’ve been monitoring....more

Orrick's Financial Industry Week in Review

SEC Adopts Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants - On April 15, 2016, the Securities and Exchange Commission adopted final rules modifying regulations "for...more

Top Ten International Anti-Corruption Developments for March 2016

In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important international anti-corruption developments from the past month, with links to primary...more

This Week In Securities Litigation

The Supreme Court declined to hear Bebo v. SEC, 799 F. 3d 765 (7th Cir. 2015), a suit challenging the SEC’s venue selection. The Court’s order left standing the decision of the circuit court affirming the dismissal of the...more

International Reporting Tightens at NYSE as Competition from Europe Heats Up

Two recent events highlight the ever-shifting dynamic between U.S. and international capital markets. The first, a technical NYSE rule affecting the reporting obligations of foreign private issuers, was subtle. The second,...more

Logos Seeks Accredited Investors In Bitcoin Fund

On February 26, 2016, Logos Capital Fund, LLP (“Logos”) filed with the Securities and Exchange Commission (“SEC”) a Form D Notice of Exempt Offering of Securities. As its Form D indicates, Logos is soliciting investments of...more

2016 M&A Report

Our 2016 M&A Report offers a detailed review of, and outlook for, the global M&A market. Other highlights include a comparison of deal terms in public and private acquisitions; updates on takeover defenses and public company...more

Financial Regulatory Developments Focus - March 2016 #2

In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Financial Services Weekly News - March 2016 #2

Regulatory Developments - MSRB Publishes Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers - The MSRB recently published its first Compliance Advisory for Brokers, Dealers and Municipal...more

A Closer Look at Cybersecurity Legislation and Regulations in the US and Abroad - Global Overview

With interconnectivity and use of digital storage expanding, cyberthreats posed by nation states, commercial competitors, company insiders, transnational organised crime and ‘hacktivists’ are growing on a global basis. Recent...more

CFTC Uncleared Swap Margin Rules to Take Effect in September

While the US gears up for compliance with uncleared swap margin rules, cross-border application of the CFTC rules remains unclear. The US Commodity Futures Trading Commission (the CFTC) finalized its margin requirements...more

Financial Services Weekly News - February 2015 #3

Regulatory Developments - Federal Reserve Board Repeals Regulation AA and Proposes Repeal of Regulation C - On Feb. 11, the Federal Reserve Board took steps towards transferring some of its rulemaking authority to...more

Orrick's Financial Industry Week in Review

Financial Industry Developments - The SEC Adopts Cross-Border Security-Based Swap Rules - On February 10, the Securities and Exchange Commission (the "SEC") adopted rules under the Dodd-Frank Wall Street Reform and...more

Your daily dose of financial news The Brief – 2.16.16

2015 was not exactly the year of the hedge fund, and 2016’s starting off with its worst start for the industry since 2008. But if you think that’s keeping managers from starting new portfolios with an eye toward hitting it...more

Employment Law - January 2016 #2

EU Permits Employers to Monitor Private Employee Communications - Why it matters - In a favorable ruling for employers, the European Union's (EU) highest court concluded that an employee's right to privacy was not...more

U.S. Treasury Department Eases Sanctions Under Iran Nuclear Deal

Changes Authorize Certain Transactions by Foreign-Incorporated Companies - On January 16, 2016, the U.S. Treasury Department eased economic sanctions on Iran and issued new licenses authorizing three new categories of...more

Important Dates and Reminders for Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors and Commodity Pool...

Investment Advisers - Annual Compliance Reviews: All investment advisers registered with the Securities and Exchange Commission (“SEC”) or The Commonwealth of Massachusetts are required to review their...more

"Emerging Trends in Privacy and Cybersecurity"

Entering 2016, the relentless stream of cyberattacks continues unabated, having become a "business as usual" reality to which companies must adapt. All companies, regardless of size or industry, are potential targets, and the...more

SEC Extractive Industry Transparency Requirements Move Forward

On December 11, 2015, the Securities and Exchange Commission (“SEC”) issued a new proposed rule to implement a key provision of the Dodd-Frank Act that targets corruption and increases transparency requirements for payments...more

Musings on Conflict Minerals Compliance – The Year That Was, the Year That May Be and What You Should Be Doing Now

With New Year’s behind us and roughly four and a half months to go until the calendar 2015 conflict minerals filings are due, many companies are ramping up their compliance efforts in earnest. In many respects, the drill has...more

The Financial Report - Volume 5, No. 1 January 2016 (Global)

Discussion and Analysis Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority, announced in FINRA’s 11th annual Regulatory and Examination Priorities Letter, published earlier this week, that...more

Developments relating to Category 3 Offerings under Regulation S

One of the more vexing problems under Securities and Exchange Commission (SEC or the Commission) Regulation S involves its application to U.S. companies desiring to go public outside the United States. As is well known,...more

SEC Re-Proposes Rules for Resource Extraction Issuers Under Dodd-Frank Act

On December 11, 2015, the Securities and Exchange Commission (the “SEC”) proposed rules required under Section 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”). Section 1504 of the Act added...more

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