JOBS Act, Dodd-Frank | JD Supra Law News

Financial Services Legislative and Regulatory Update -- May 13‚ 2013

by Abby Matousek, Jason M. Rosenstock | Mintz Levin - Public Finance on 5/13/2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - What had been a relatively quiet week, where until Friday it seemed...more

SEC Speaks: Agency Takes Back-To-Basics Approach In Face Of Changing Leadership, Congressional Mandates And New Technologies

by Regina LaMonica, Jose Lopez, Keith Miller, Charles Mulaney, Pravin Rao | Perkins Coie on 2/25/2013

The annual “SEC Speaks” conference, in which Securities and Exchange Commission (SEC) representatives review the agency’s efforts over the past year and preview the year to come, was held on February 22-23, 2013. A...more

SEC Commissioners Say More Regulation, Oversight Needed

by Matthew P. Allen | Miller Canfield on 2/25/2013

SEC commissioners called for a more regulations and oversight to protect investors from fraud and other dangers, reports Miller Canfield securities compliance and enforcement lawyer Matt Allen. Allen attended the 42nd...more

New Freedoms & Heightened Scrutiny Complicate the US Private Fund Marketing Environment

by Thomas M. Devaney | Morrison & Foerster LLP on 2/22/2013

Originally published in CorporateLiveWire on February 21, 2013. The last few years have witnessed tectonic shifts in U.S. laws and regulations that effect the management and operations of hedge funds, private equity...more

Financial Services Legislative And Regulatory Update -- February 18‚ 2013

by Abby Matousek, Jason M. Rosenstock | Mintz Levin - Public Finance on 2/19/2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - President Obama touched on both new and old initiatives in his State of...more

Financial Services Legislative And Regulatory Update -- February 11‚ 2013

by Abby Matousek, Jason M. Rosenstock | Mintz Levin - Public Finance on 2/12/2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; International; Miscellaneous; and Upcoming Hearings. Excerpt Leading the Past Week - With January officially in the record books, it...more

Corporate and Financial Weekly Digest - February 8, 2013

by Katten Muchin Rosenman LLP on 2/11/2013

In this issue: - ISS Announces ISS Governance QuickScore to Replace GRId - Petitioners File Opening Brief Challenging SEC’s Conflict Minerals Rule - SEC Roundtable Discusses Decimalization and Tick Sizes -...more

Could The Product Of Two Debts Really Be A Fortune?

by Keith Paul Bishop | Allen Matkins Leck Gamble Mallory & Natsis... on 1/30/2013

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

SEC Faces A Swarm Of Legal Issues In Considering The Investor Advisory Committee’s Recommendations Concerning General Solicitation

by Keith Paul Bishop | Allen Matkins Leck Gamble Mallory & Natsis... on 1/21/2013

The SEC’s Investor Advisory Committee held another meeting last week with Elisse B. Walter making her first public appearance as SEC Chairman. She and Commissioner Luis A. Aguilar had many kind words for the Committee’s...more

Skadden's 2013 Insights

by Skadden, Arps, Slate, Meagher & Flom LLP on 1/18/2013

We are pleased to provide a collection of commentaries on the critical legal issues facing our clients in 2013. There is hope that global economic and market conditions will continue to improve despite ongoing...more

Year-End Developments And Compliance Checklists

by Cole Beaubouef, Richard Bernstein, George Danenhauer, Marie DeFalco, David Goret, Peter Greene, Elaine Hughes, Allen Levithan, Matthew Magidson, Robert Minion, Scott H. Moss | Lowenstein Sandler LLP on 1/17/2013

Lowenstein Sandler’s Investment Management Group is pleased to provide you with (i) a summary of recent legislative and regulatory developments that impact the investment management community; and (ii) checklists of year-end...more

Securities Law Essentials For Growing Companies

by David Jenson, Stephen M. Quinlivan | Leonard, Street and Deinard - Dodd-Frank and... on 1/16/2013

We recently gave a presentation at a CLE titled Securities Law Essentials for Growing Companies. The presentation included an overview of what constitutes a public offering, what is a security, classical private placements,...more

SEC Sets Rulemaking Agenda for 2013

by Robert L. Kohl | Katten Muchin Rosenman LLP on 12/12/2012

In its fiscal year 2012 Agency Financial Report released last week, the Securities and Exchange Commission published its rulemaking agenda for 2013 under both the Dodd-Frank Wall Street Reform and Consumer Protection Act...more

Financial Services Bulletin: SEC and CFTC Action - September 2012

by Perkins Coie on 9/12/2012

In This Issue: - SEC Proposes JOBS Act General Solicitation of Securities Offerings Rules - CFTC Adopts Rules on Swap Confirmation, Processing, Netting, Documentation, and Valuation...more

SEC Announces Proposed Rules to Implement JOBS Act Provisions on General Solicitation and Advertising in Certain Securities...

by Thomas R. Leffler | Holland & Knight LLP on 9/10/2012

On August 29, 2012, the SEC announced proposed rules to eliminate the prohibition against general solicitation and general advertising in certain securities offerings. Under the proposed rules, which are mandated by the JOBS...more

SEC Adopts Dodd-Frank Rules Regarding Conflict Minerals and Payments by Resource Extraction Issuers and Defers Rules for...

by Sheppard Mullin Richter & Hampton LLP on 8/23/2012

On August 22, 2012, the SEC adopted disclosure rules required by Sections 1502 and 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection Act related to conflict minerals and payments by issuers engaged in resource...more

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The Jump-Start Our Business Start-Ups Act › Dodd-Frank Wall Street Reform and Consumer Protection Act