News & Analysis as of

D.C. Circuit Partially Strikes Down SEC Conflict Minerals Rules

On April 14, 2014, the U.S. Court of Appeals for the D.C. Circuit issued its long-awaited decision in the challenge to the SEC’s conflict minerals disclosure rule filed by the National Association of Manufacturers (“NAM”) and...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

Just How Binding Are SEC Statements In An Adopting Release?

Two years ago, I coined the term ““ARR Ratio”. The ARR Ratio (Adopting Release to Rule Ratio) is calculated by dividing the total number of words in the Adopting Release by the total number of words in the actual text of the...more

Corporate and Financial Weekly Digest - July 26, 2013

In this issue: - District Court Rejects Challenge to SEC Conflict Minerals Rule - Mandatory Clearing of iTraxx CDS Indices for Category 2 Entities Began July 25 - CFTC Issues Extension of Time-Limited...more

U.S. District Court Upholds the Conflict Minerals Rule

On July 23, the District Court for the District of Columbia rejected a challenge to the conflict minerals rule adopted by the Securities and Exchange Commission in August 2012 and published in September 2012. Plaintiffs...more

The Most Important Thing You Need To Know Now About The Lifting Of The General Solicitation Ban

I’m tempted to begin this post with the following: Last week, the Securities and Exchange Commission lifted the ban on general solicitation in Rule 506 and Rule 144A offerings....more

U.S. District Court Vacates SEC’s Rule Requiring Public Disclosure of Energy Companies’ Payments to U.S. and Foreign Governments

On July 2, 2013, the U.S. District Court for the District of Columbia vacated a rule promulgated by the Securities and Exchange Commission ("SEC") that would have required energy companies to publicly disclose payments to...more

Court Rejects SEC’s Interpretation That All Exchange Act Reports Are Public

SEC Misreads The Dodd-Frank Act - Commenting on the SEC’s short-lived resource extraction rule, Professor Stephen Bainbridge recently posted: Can’t anybody at the SEC do basic cost benefit analysis? I hesitate to...more

US District Court vacates SEC’s Resource Extraction Rule

On Tuesday, the US District Court for the District of Columbia ruled against the Securities and Exchange Commission on a motion for summary judgment related to the SEC’s resource extraction rule. A copy of the court’s...more

Court Vacates SEC Rule on Disclosure of Government Payments by Resource Extraction Issuers While Similar EU Requirement Is...

On July 2, 2013, a US court vacated the new SEC rule requiring resource extraction issuers to file annual reports with information about government payments for the commercial development of oil, natural gas or minerals....more

D.C. Circuit Court Upholds Dodd-Frank Inspired CFTC Regulations Subjecting Mutual Funds That Invest in Commodities to CFTC...

In 2012, the Commodity Futures Trading Commission (CFTC), in response to Dodd-Frank, adopted new regulations to require mutual funds and other registered investment companies that exceed certain position levels in commodity...more

Amendments to CFTC Rule 4.5 Affecting Advisers to Registered Investment Companies Upheld

On Tuesday, June 25, 2013, a three-judge panel of the United States Court of Appeals for the District of Columbia Circuit (Court of Appeals) affirmed the decision of the United States District Court for the District of...more

DC Court of Appeals Upholds Amendments to CFTC Rule 4.5 Affecting Advisers to Registered Investment Companies

On Tuesday, June 25, 2013, a three-judge panel of the United States Court of Appeals for the District of Columbia Circuit (Court of Appeals) affirmed the decision of the United States District Court for the District of...more

Could The Product Of Two Debts Really Be A Fortune?

In 628 in the Gurjar capital city of Bhillamala (now, Bhinmal, India), the mathemetician Brahmagupta set out to explain how zero and negatives numbers work. In his book, Brahmasphutasiddhanta, he set forth the rule that the...more

Dodd-Frank News: January 2013: Dodd-Frank Wall Street Reform And Consumer Protection Act Monthly Update

In This Issue: - RECENT CASES . Dodd-Frank Challenges Under the Administrative Procedure Act and Commodity Exchange Act . Preemption . Whistleblower Protection Under the Dodd-Frank Act . Arbitration...more

Court Dismisses Chamber of Commerce and ICI Lawsuit Over Amendments to CFTC Rule 4.5

On Wednesday, December 12, the United States District Court for the District of Columbia dismissed a joint U.S. Chamber of Commerce (the Chamber) and Investment Company Institute (ICI) lawsuit against the Commodity Futures...more

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