Exemptions, Disclosure Requirements, Conflicts of Interest

SEC Proposes Rule Changes for Proxy Advisory Firms

Vedder Price on 12/10/2019

On November 5, 2019, the SEC issued a release proposing amendments to the federal proxy rules that are intended to enhance the accuracy and transparency of information provided by proxy advisory firms to investors and...more

SEC Proposes Rule Amendments to Enhance Regulation of Proxy Advisers

White & Case LLP on 11/22/2019

On November 5, 2019, the Securities and Exchange Commission (“SEC”) proposed amendments to the federal proxy rules that would enhance the SEC’s regulation of proxy advisory firms.1 The proposed amendments to Rules 14a-1,...more

SEC Proposes Rules Targeting Proxy Advisory Firms

Fenwick & West LLP on 11/19/2019

The U.S. Securities and Exchange Commission has proposed amendments to the proxy solicitation rules, directly targeting proxy advisory firms (Release No. 34-87457). Consistent with the updated interpretative guidance the SEC...more

SEC Approves Rule to Regulate Debt Research Reports and Debt Research Analysts

Morgan Lewis on 10/6/2015

Background - Eight years in the making, the US Securities and Exchange Commission (SEC) has finally approved the Financial Industry Regulatory Authority’s (FINRA's) proposed Rule 2242 (the Rule or Rule 2242), which will...more

FINRA Releases Public Offering FAQs

Dechert LLP on 2/15/2013

FINRA, the largest independent regulator for all securities firms doing business in the United States, has released a set of FAQs relating to its review of public securities offerings filed on its Public Offering Filing...more

Dodd-Frank Act Securitization Reform; New SEC ABS Office

Morrison & Foerster LLP on 7/22/2010

On July 15, 2010, Congress passed the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd- Frank Act”), which include a number of provisions that will significantly impact the securitization industry. The Act...more