News & Analysis as of September 19, 2024

Disclosure Requirements

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The Jump-Start Our Business Start-Ups Act is a United States federal law enacted in 2012 to increase start-up companies' access to capital by easing certain restrictions on seeking and soliciting private... more +

Capital Markets Alert – Public Market Advocacy Groups Release Guidance

Skadden, Arps, Slate, Meagher & Flom LLP on 5/10/2018

On April 27, 2018, the Securities Industry and Financial Markets Association (SIFMA), the U.S. Chamber of Commerce and Nasdaq, along with certain technology and biotechnology groups, released a policy paper titled “Expanding...more

A Window into Trump’s SEC?

Stinson - Corporate & Securities Law Blog on 11/16/2016

Insights into an SEC composed of Trump appointees can be gleaned from Financial Services Committee Chairman Jeb Hensarling’s (R-TX) opening statements at a committee hearing on SEC oversight, with testimony by outgoing SEC...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 10/14/2016

Financial Industry Developments - The CFPB Publishes Final Rule for Prepaid Accounts - On October 5, 2016, the Consumer Financial Protection Bureau (the "CFPB") finalized comprehensive consumer protections for...more

US IPO Guide 2016 Edition

Latham & Watkins LLP on 7/11/2016

This is our initial public offering guide. It will help you decide whether an IPO is the right move for your company and, if so, help you make sure your IPO goes off as quickly and as smoothly as possible, without any...more

"SEC Rulemaking Update: A Year of Changes, With More to Come"

Skadden, Arps, Slate, Meagher & Flom LLP on 1/19/2016

Last year, the Securities and Exchange Commission (SEC) made major progress in completing its rulemaking mandates under the Jumpstart Our Business Startups Act (JOBS Act) and the Dodd-Frank Act. Additionally, Congress enacted...more

2016 Proxy Season Field Guide

Morrison & Foerster LLP on 1/15/2016

The 2016 proxy season occurs in an environment of heightened shareholder activism and an ever-increasing focus on compensation and corporate governance disclosures. This Proxy Season Field Guide provides you with an overview...more

What's Market? Update: Securities

Goulston & Storrs PC on 10/21/2015

Amendments to Regulation A adopted by the SEC to comply with a mandate in the JOBS Act took effect on June 19, 2015. Regulation A as amended (often referred to as “Regulation A+”) expands the maximum aggregate amount that...more

How to Navigate the SEC’s Proposed Mandate on Clawbacks

Latham & Watkins LLP on 8/5/2015

US publicly listed companies should plan now for proposed stringent policies and required disclosures. Under the long-awaited proposed rules adopted by the Securities and Exchange Commission on July 1, 2015, generally,...more

Corporate & Financial Weekly Digest - Volume X, Issue 23

Katten Muchin Rosenman LLP on 6/15/2015

In This Issue: - Meeting of the SEC Advisory Committee on Small and Emerging Companies - FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring...more

In Case You Missed It - Interesting Items for Corporate Counsel - May 2015

Stoel Rives LLP on 5/15/2015

The SEC proposed pay for performance rules to implement Section 953(a) of Dodd-Frank, which requires disclosure of “information that shows the relationship between executive compensation actually paid and the financial...more

SEC Sets October 2015 Target Date for Certain Dodd-Frank and JOBS Act Rulemaking

Katten Muchin Rosenman LLP on 12/10/2014

The Securities and Exchange Commission recently published its agenda with respect to upcoming rulemaking, including rulemaking contemplated by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) and...more

Blog: Republicans To SEC Chair: Delay Pay Ratio Rules. Is A Repeal Attempt In The Offing?

Cooley LLP on 11/26/2014

The WSJ reports that three Republican congressman — House Financial Services Committee Chairman Jeb Hensarling, and Reps. Scott Garrett and Bill Huizenga — have written to SEC Chair Mary Jo White urging that the SEC stop...more

CFTC Provides Relief from Certain Agency Regulations to be Consistent with JOBS Act SEC Amendments

Orrick - Finance 20/20 on 9/23/2014

On September 9, the CFTC issued an exemptive letter, which provides relief from certain provisions of Regulations 4.7(b) and 4.13(a)(3) restricting marketing to the public. The exemptive letter harmonizes these rules with...more

Hearing on Oversight of the SEC’s Division of Corporation Finance

Morrison & Foerster LLP - JOBS Act on 7/28/2014

As we previously reported, the Director of the SEC’s Division of Corporation Finance, Keith Higgins, testified before the House Financial Services Committee on a broad range of matters, including the SEC’s progress in...more

"Will 2014 Be the ‘Year of the Foreign Private Issuer’?"

Skadden, Arps, Slate, Meagher & Flom LLP on 1/24/2014

Experience in 2013 has shown that U.S. securities exchanges are once again becoming increasingly popular venues for listings by non-U.S. companies. The number of non-U.S. companies that conducted initial listings in the U.S....more

SEC Chair Speaks on Public Company Disclosure

Katten Muchin Rosenman LLP on 10/22/2013

On October 15, Mary Jo White, Chairwoman of the Securities and Exchange Commission, delivered a speech to the National Association of Corporate Directors regarding the current state of public company disclosure. Chairwoman...more

In Case You Missed It - Interesting Items for Corporate Counsel (Cumulative)

Stoel Rives LLP on 8/15/2013

As forecast, there is no shortage of law firm memos describing Regulation D changes, including the final rules eliminating the general solicitation ban (here) and prohibiting "bad actor" participation (here) and the proposed...more

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

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

Update on Timeline for SEC Rulemaking to Implement the JOBS Act and Dodd-Frank Act

Sheppard Mullin Richter & Hampton LLP on 7/25/2012

In recent weeks, the SEC has given notice of matters that SEC Commissioners will consider at an open meeting on August 22, 2012, including: - general solicitation rulemaking required by Title II of the JOBS Act ...more

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