Securities & Exchange Commission

The United States Securities and Exchange Commission was created in 1934 in response to the Great Stock Market Crash of 1929. The Commission was created to protect investors, ensure fairness in the market, and encourage capital formation. The Commission is headed by five presidentially-appointed Commissioners who oversee the Commission’s five divisions: Division of Corporation Finance, Division of Trading and Markets, Division of Enforcement, Division of Investment Management, and the Division of Risk, Strategy and Financial Information.

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News & Analysis as of May 25, 2013

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Proposes Cross-Border Security-Based Swap Rules and Guidance

by Maureen A. Donley, Elizabeth Doyle, Ryan Elsey, Prashina J. Gagoomal, Theodore M. Kneller, Daniel S. Konar II, Rachel Kaplan Reicher, Mark D. Young | Skadden, Arps, Slate, Meagher & Flom LLP on 5/25/2013

On May 23, 2013, the Securities and Exchange Commission (SEC) published in the Federal Register proposed rules and guidance for applying Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank)...more

Court Finds Internal Reporting By Whistleblower Entitled To Dodd-Frank Protections

by Stephen M. Quinlivan | Leonard, Street and Deinard - Dodd-Frank and... on 5/24/2013

In Murray v. UBS Securities LLC et al (12-CV-5914 S.D.N.Y.) the court found that an employee who reports violations of securities laws to his supervisor, but not the SEC, is entitled to the anti-retaliation protections for...more

Corruption in The Energy Sector: Criminal Fines, Civil Judgments, And Lost Arbitrations

by Gordon Kaiser | JAMS, The Resolution Experts on 5/24/2013

Synopsis - This article examines the anti-bribery legislation of three countries, the United States, Canada, and the United Kingdom. The legislation of the three countries is compared and virtually all the criminal...more

Will the Latest Opinion by A District Court Adopting a Broad Definition of Who is a Whistleblower Encourage More Internal...

by Mike Delikat, Rachel Muoio, Renee Phillips | Orrick - Global Employment Law Group on 5/24/2013

On Tuesday, another New York federal district court ruled that an employee need not report a disclosure directly to the Securities and Exchange Commission (“SEC”) to be afforded the protections under the anti-retaliation...more

Capital Thinking Updates - May 20, 2013

by Amy Davenport, Alexis Early, Eugenia Edwards, Jared Fleisher, Mara Giorgio, Norma Krayem, Karen Kudelko, Matthew Kulkin, Jessica Monahan, Amy Budner Smith, Stacy Swanson, Sarah Vilms, more +Dana Weekes, Kristin Wells, Pam Welsh | Patton Boggs LLP on 5/24/2013

In This Issue: - General Legislative - Agriculture and Food - Budget and Appropriations - Cybersecurity - Defense - Education - Environment - Financial Services - Health Care - Homeland...more

ISS Charged With Selling Shareholder Vote Data; Agrees To $300,000 Settlement

by David Jenson | Leonard, Street and Deinard - Dodd-Frank and... on 5/24/2013

The SEC and Institutional Shareholder Services, Inc. (ISS) have settled public administrative and cease-and-desist proceedings initiated against ISS by the SEC alleging that ISS violated Section 204A of the Advisers Act by...more

SEC Targets Another Fund Board in Recent Enforcement Case

by Catherine Botticelli, Stephanie Capistron, Christopher Harvey, Emily Shea | Dechert LLP on 5/23/2013

The U.S. Securities and Exchange Commission (“SEC”) recently issued an Order Instituting Proceedings (“Order”) against the administrator and compliance services provider, as well as current and former members of the boards of...more

"Deadline Approaching for Compensation Committee Charter Amendments"

by Michael R. Bergmann, Andrew Brady, Brian V. Breheny, Kristin M. Davis, Berit R. Freeman, Richard J. Grossman, Neil M. Leff, Alessandra K. Murata, Audrey Murga, Timothy Nelson, more +Regina Olshan, David C. Olstein, Erica Schohn, Joseph M. Yaffe | Skadden, Arps, Slate, Meagher & Flom LLP on 5/23/2013

As a reminder, by July 1, 2013, compensation committee charters must comply with the new New York Stock Exchange (NYSE) and Nasdaq Stock Market (Nasdaq) listing requirements that were approved by the Securities and Exchange...more

SEC Provides No-Action Relief On Regulation BTR

by Stephen M. Quinlivan | Leonard, Street and Deinard - Dodd-Frank and... on 5/23/2013

Broadly speaking, SEC Regulation BTR prohibits directors and executive officers of public companies from trading in the issuer’s securities which were acquired in connection with service to the issuer if a sufficient number...more

SEC Commissioner Comments On JOBS Act; Immigration Reform

by David Jenson | Leonard, Street and Deinard - Dodd-Frank and... on 5/22/2013

On May 18, 2013, SEC Commissioner Luis A. Aguilar spoke at the annual gala of the Georgia Hispanic Chamber of Commerce, using the opportunity to highlight the contributions of immigrants (and Hispanic immigrants in...more

Lessons from Ralph Lauren: Designing Better Ways to Manage Third Party Risk

by NAVEX Global on 5/21/2013

Trying to avoid the unusually strict import controls in Argentina and facilitate faster clearance of its products through customs, a subsidiary of Ralph Lauren Corp. was found to have bribed local officials between 2005 and...more

Crowdfunding Renewable Energy Projects in Early Stages and Growing in the U.S.

by Laura Neumeister | Foley & Lardner LLP on 5/21/2013

Direct investment in renewable energy projects has been an anticipated financing option among editorialists and bloggers the past year, and seems to finally be gaining traction in the United States....more

New SEC Identity Theft Red Flag Regulations Call Attention to Investment Advisers

by Charles Hertlein, Jr. | Dinsmore & Shohl LLP on 5/21/2013

It is probably fair to say most registered investment advisers, at least those below a certain size, did not pay a great deal of attention to the anti-identity theft, or “red flag” rules jointly adopted by the Federal Trade...more

Business News Digest – May 2013

In this issue: - Does the SEC Like Social Media? Understanding the Application of Regulation FD to Social Media - NIST Holds First Workshop on Executive Order Cybersecurity Framework - Jumpstart Our...more

SEC Considering More Stringent Requirements For Cybersecurity Disclosures In The Wake Of Stock Manipulating Hacking Case

by Josh Deitz, Stephen Knaster, Katherine Lubin | Orrick - Securities Litigation and Regulatory... on 5/21/2013

Following up on clues earlier this year that the SEC may increase its scrutiny of cybersecurity disclosures, SEC Chairman Mary Jo White has asked the Commission to evaluate current guidance for cybersecurity disclosures and...more

Conflict Minerals And Resource Extraction Challenges Proceed On Accelerated Basis

by Stephen M. Quinlivan | Leonard, Street and Deinard - Dodd-Frank and... on 5/21/2013

We previously noted that the challenge to the SEC’s conflict minerals rules was transferred from the Court of Appeals to the United States District Court for the District of Columbia....more

Capital Thinking Updates - May 16, 2013

by Amy Davenport, Tanya DeRivi, Alexis Early, Eugenia Edwards, Jared Fleisher, Norma Krayem, Karen Kudelko, Matthew Kulkin, Jessica Monahan, Amy Budner Smith, Stacy Swanson, Joseph Urso, more +Sarah Vilms, Kristin Wells, Pam Welsh | Patton Boggs LLP on 5/21/2013

In This Issue: - General Legislative - Agriculture and Food - Budget and Appropriations - Cybersecurity - Defense - Education - Energy - Environment - Financial Services - Health...more

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Securities & Exchange Commission

SEC Proposes Cross-Border Security-Based Swap Rules and Guidance

Court Finds Internal Reporting By Whistleblower Entitled To Dodd-Frank Protections

Corruption in The Energy Sector: Criminal Fines, Civil Judgments, And Lost Arbitrations

Will the Latest Opinion by A District Court Adopting a Broad Definition of Who is a Whistleblower Encourage More Internal...

Capital Thinking Updates - May 20, 2013

ISS Charged With Selling Shareholder Vote Data; Agrees To $300,000 Settlement

SEC Targets Another Fund Board in Recent Enforcement Case

"Deadline Approaching for Compensation Committee Charter Amendments"

SEC Provides No-Action Relief On Regulation BTR

SEC Commissioner Comments On JOBS Act; Immigration Reform

Lessons from Ralph Lauren: Designing Better Ways to Manage Third Party Risk

Crowdfunding Renewable Energy Projects in Early Stages and Growing in the U.S.

New SEC Identity Theft Red Flag Regulations Call Attention to Investment Advisers

Business News Digest – May 2013

SEC Considering More Stringent Requirements For Cybersecurity Disclosures In The Wake Of Stock Manipulating Hacking Case

Conflict Minerals And Resource Extraction Challenges Proceed On Accelerated Basis

Capital Thinking Updates - May 16, 2013

Financial Services Legislative and Regulatory Update -- May 20‚ 2013

Whistleblower Law Firm Complains To SEC

Client Alert: SEC Publishes Cross-Border Release and Reopens Comment Period for Dodd-Frank Rules

SEC Warns About Exemptive Order Compliance

Dodd-Frank Act Rulemaking: SEC and CFTC Issue Red Flags Rules to Address Identity Theft

Crowdfunding And JOBS Act News Roundup – May 17, 2013

Playing With Ralph Lauren: A Fair Settlement?

Investment Management Legal + Regulatory Update -- May 2013

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