Proposed Amendments

News & Analysis as of

Orrick's Financial Industry Week in Review

SEC Proposes to Amend Rules Governing Its Administrative Proceedings - On September 24, the U.S. Securities and Exchange Commission (the "SEC") proposed to amend rules governing its administrative proceedings. Key...more

Revised Rule 23 Proposals Show Some Promise

The Rule 23 amendment process has continued apace. For those of you who did not read Paul Karlsgodt’s excellent summary of the September 11 mini-conference (which included a number of class-action luminaries from both sides...more

FINRA Files Proposed Rule Change to Amend Margin Requirements for the TBA Market

The Financial Industry Regulatory Authority proposed to amend FINRA Rule 4210 to establish margin requirements for to-be-announced transactions, specified pool transactions and collateralized mortgage obligations that are...more

MoFo New York Tax Insights - Volume 6, Issue 10

State Tax Department Releases Draft Article 9-A Nexus Regulations Under Corporate Tax Reform - The New York State Department of Taxation and Finance has released draft amendments to the Article 9-A corporate franchise...more

The U.S. Senate Judiciary Committee Holds Hearing To Discuss Reforms To The Electronic Communications Privacy Act

The U.S. Senate Committee on the Judiciary held a hearing to discuss reforms to the Electronic Communications Privacy Act (“ECPA”) proposed in Senate bill S. 356, The Electronic Communications Privacy Act Amendments Act of...more

California Environmental Law & Policy Update - October 2015

Environmental and Policy Focus - Royal Dutch Shell suspends Arctic drilling indefinitely: Washington Post - Sep 28: Royal Dutch Shell announced early on September 28, 2015 that it will indefinitely suspend its Arctic...more

CEQA Guidelines Comments: Once In a Generation Chance

The California Environmental Quality Act (CEQA) directs that certain proposed projects undergo environmental review to assess and mitigate significant environmental impacts. The CEQA Guidelines provide procedures and...more

ITC Section 337 Update – October 2015

ITC Proposes Extensive Changes To Rules For Adjudicating Section 337 Investigations – On September 24, 2015, the Commission published a Notice of Proposed Rulemaking in the Federal Register announcing proposed changes to its...more

Financial Services Weekly News - September 2015 #5

Regulatory Developments - SEC Proposes to Amend Administrative Proceedings Rules: On Sept. 24 the SEC announced that it had voted to propose amendments to rules governing its administrative proceedings. The...more

NASAA Mistakes The Principal

I have frequently commented on the fact that many so-called “investor protections” have the unintended consequence of increasing the risk of investor losses.  One example are limitations on resales.  An illiquid security is...more

Intellectual Property Newsletter - September/October 2015

PTAB Update on Inter Partes Review - On August 19, 2015, the Director of the USPTO released a blog post reporting on the state of post-grant review proceedings created by the Leahy-Smith America Invents Act of 2011 and...more

From Phonograph Records to Musical Sound Recordings: USPTO’s Pilot Program May Bring Life to Outdated Registrations

Own a trademark registration covering goods or services that have become obsolete due to technological advances? Does your trademark registration cover content delivered by floppy discs that are now provided as on-line...more

Proposed amendments to report of exempt distribution

On August 13, 2015, the Canadian Securities Administrators (CSA) published for comment proposed amendments to National Instrument 45-106 Prospectus Exemptions and its Companion Policy. The proposed amendments seek to...more

CFTC Proposes Amendments to Position Limit Aggregation Exemption Rules

On September 22, 2015, the Commodity Futures Trading Commission (CFTC) proposed certain changes in a supplemental notice of proposed rulemaking (the “Supplemental Notice”) to the position limit aggregation rules and...more

IRS Extends FATCA Transition Rules

On September 18, 2015, the Internal Revenue Service (IRS) issued Notice 2015-66, in which Treasury and the IRS announced that they intend to extend certain transition rules and modify certain other reporting rules under the...more

Nothing to See in This Story about the Electronic Communications Privacy Act

Check out this story. In it, we learn this: "Andrew Ceresney, director of the Division of Enforcement at the Securities and Exchange Commission, [told] the Senate’s Committee on the Judiciary at a hearing on Wednesday...more

Will the FTC Have Access to Your Electronic Communications?

Amending the Electronic Communications Privacy Act (ECPA) has long been under consideration in Congress, but recent testimony indicates that ECPA reform may have deeper implications for companies subject to FTC...more

EPA Proposes Amendments for Hazardous Waste Generators - Flexibility and Clarity May Benefit Many Stakeholders

Generators of hazardous waste have been navigating the labyrinth of the Resource Conservation and Recovery Act (RCRA) regulatory program for more than three decades. While industries and the products they offer have seen...more

Illinois Department of Revenue Issues Proposed Amendments to Shipping and Handling Regulations

The Illinois Department of Revenue (Department) recently proposed amendments to its regulations governing the taxability of shipping and handling charges. The Proposed Amendments to 86 Ill. Admin Code §§ 130.415 and 130.410...more

SEC Proposes Security-based Swap Data Repositories Make Data Available to Regulators

The SEC is proposing amendments to rules related to regulator access to security-based swap data held by security-based swap data repositories. If adopted, the amendments would require security-based swap data repositories...more

DOL Refuses to Extend Comment Period for Overtime Exemption Salary Changes

The 60-day notice and comment period for the Department of Labor’s proposed changes to its Part 541 white collar overtime exemption rules has expired. The agency reports receiving over 200,000 comments to the proposed rules,...more

Financial Services Weekly News - September 2015 #2

Regulatory Developments: DOL Releases Transcripts of Fiduciary Standard Hearings - The Department of Labor (DOL) has released the transcripts of the hearings held by the agency in August on its proposed fiduciary...more

House Hearings to Focus on ACA Insurance Issues

On September 9, 2015, the House Energy and Commerce Committee is holding a hearing on H.R. 1624, Protecting Affordable Coverage for Employees Act of 2015. The legislation would amend the Public Health Service Act to redefine...more

New York State Tax Department Releases Draft Corporate Tax Nexus Regulations for Comment

On September 2, 2015, the New York State Department of Taxation and Finance released draft amendments to the Article 9-A corporate franchise tax regulations to address significant changes relating to statutory nexus under...more

Intellectual Property Alert: USPTO Issues Second Round of AIA Rule Changes

On August 19, 2015, the United States Patent and Trademark Office announced a new round of proposed changes to practice before the Patent Trial and Appeal Board, including inter partes review, post-grant review, the...more

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