Proposed Amendments

News & Analysis as of

Financial Services Weekly News Roundup - December 2014 #4

Regulatory Developments - SEC Proposes Changes to Exchange Act Registration Requirements to Implement JOBS Act Mandates - The SEC announced that it is proposing rule amendments under the Securities Exchange Act...more

NFA Proposes Amended Interpretive Notice Regarding Loans to CPOs by Commodity Pools

On December 12, National Futures Association (NFA) submitted to the Commodity Futures Trading Commission proposed amendments to the Interpretive Notice to NFA Compliance Rule 2-45 (Prohibition of Loans by Commodity Pools to...more

FINRA Proposes Rule Change to Codify Reporting Requirement for Accounts Acting in Concert

On December 11, the Financial Industry Regulatory Authority proposed a rule change to amend FINRA Rule 2360(b)(5) to reflect the current requirement that reporting rules apply to all accounts acting in concert. FINRA Rule...more

Blog: SEC proposes rule amendments to conform registration thresholds to JOBS Act thresholds

At the end of last week, the SEC issued a press release indicating that it had voted to propose various amendments to implement portions of the JOBS Act. (In a departure from the norm, the SEC did not hold an open meeting to...more

SEC Proposes JOBS Act Rules for Exchange Act Registration Requirements

As mandated by the JOBS Act, the SEC has issued proposed amendments to revise the rules related to the thresholds for registration, termination of registration, and suspension of reporting under Section 12(g) of the Exchange...more

FINRA Proposes Arbitration and Exam Fee Increases, Declares Rebate

Following the final 2014 meeting of the Board of Governors last week, FINRA announced its proposal to increase fees associated with cancelling or postponing an arbitration hearing. In a December 4, 2014 email to firms, FINRA...more

SBIR/STTR Policy Directive Update: What’s Ahead for Data Rights

On November 7, the Small Business Administration (SBA) released an advanced notice of Policy Directive amendments and a request for comment on revisions to Small Business Innovation Research (SBIR) and Small Business...more

EPA Proposes to Revise Ozone NAAQS

On November 25, 2014, EPA issued a proposal to revise the National Ambient Air Quality Standards (“NAAQS”) for ozone. The Federal Register will publish the proposed rule in the coming days, and interested parties will be able...more

Court Says SEC Wrong to Permit Exclusion of Shareholder Proposal

The United States District Court for the District of Delaware held that the SEC was incorrect when it rendered a no-action letter permitting exclusion of a shareholder proposal submitted under Rule 18a-8 in Trinity Wall...more

D.C. Council Passes “Emergency” Amendments to the Wage Theft Prevention Amendment Act

As we noted in our blog post last month, District of Columbia Mayor Vincent Gray recently signed an amendment to the Wage Theft Prevention Act. As detailed in our post and related client alert, the D.C. Wage Theft Prevention...more

ALERT: West Virginia Business Courts Division - Amendments to the Rules

For the past several years, Spilman Thomas & Battle has been an active participant in the West Virginia Business Court Division ("BCD"). After two years of cases, the BCD's leaders presented improvements to the West...more

Weekly Update Newsletter - December 2014 #1

GOVERNMENT CONTRACTS - DoD, GSA, and NASA Issue Proposed Rule to Amend FAR, Information on Corporate Contractor Performance and Integrity - The Department of Defense (DoD), General Services Administration (GSA),...more

Corporate and Financial Weekly Digest - Volume IX, Issue 47

In this issue: - SEC Sets October 2015 Target Date for Certain Dodd-Frank and JOBS Act Rulemaking - FINRA Issues Notice on TRACE Trade Reporting Obligations - NFA Issues Guidance on Exempt and Excluded...more

CFPB Proposes Amendments to Mortgage Servicing Rules

On November 20, the CFPB announced the issuance of a proposed rule to amend RESPA (Reg. X) and TILA (Reg.Z). The proposed rule changes primarily focus on clarifying, revising or amending (i) Regulation X’s servicing...more

Comment Period is Closing for U.S. Department of Defense’s Proposed Military Lending Act Rules Expansion

On September 29, 2014, DOD proposed expanding its regulation implementing the Military Lending Act (“MLA”) and the comment period for the proposed amendment is November 28, 2014. The MLA provides consumer protections for...more

Federal Trade Commission Seeks Comments on Proposed Changes to Used Car Rule

The Federal Trade Commission (FTC) recently announced that it is seeking supplemental public comments on proposed changes to its Used Motor Vehicle Trade Regulation Rule (Used Car Rule) and the Used Car Buyers Guide (Buyers...more

"MSRB Proposes Amendments Establishing Municipal Advisor Professional and Supervisory Qualification Requirements"

On November 19, 2014, the Municipal Securities Rulemaking Board (MSRB) announced that it submitted for approval by the Securities and Exchange Commission (SEC) proposed amendments to MSRB Rule G-3 to establish professional...more

CFPB Issues Proposal to Amend Mortgage Servicing Rules

Yesterday, the Consumer Financial Protection Bureau (CFPB) proposed additional amendments to Regulation X, which implements the Real Estate Settlement Procedures Act (RESPA), and Regulation Z, which implements the Truth in...more

ITC Section 337 Update – November 2014

ITC Trial Lawyers Association Annual Meeting: November 13, 2014 – ITCTLA held its Annual Meeting on November 13, in Commission Main Hearing Room. Highlights of the meeting, included Chairman Broadbent’s opening remarks...more

Restyled Texas Rules of Evidence

On November 19, the Texas Supreme Court issued an advisory, to inform the Bar, the judiciary, and the public of an order approving the restyled Texas Rules of Evidence. The Court's advisory is reproduced at the bottom of this...more

CFTC Proposes to Fix Problematic Oral Communication Recordkeeping Rule

The U.S. Commodity Futures Trading Commission (CFTC) held an open meeting in early November 2014 at which it discussed and proposed, among other agenda items, amendments to rules regarding recordkeeping related to commodity...more

Proposed FRCP Changes: Effect on eDiscovery, RIM & IG (CLE) [Video]

The Supreme Court is expected to approve a proposed set of revisions to the Federal Rules of Civil Procedure (FRCP), which would go into effect by December of 2015. Are you ready for those changes? In this program, Rimon...more

California FTB to Consider Revisions to Combination Regulations for Mixed Financial and Non-Financial Reporting Groups

The California Franchise Tax Board (FTB) has announced the scheduling of an Interested Parties Meeting (IPM) for December 4, 2014 on the topic of possible regulatory efforts regarding the proper treatment of mixed...more

CFTC Proposes Amendments to Recordkeeping Rules

Proposed changes would provide permanent relief from compliance with certain recordkeeping requirements and narrow the types of records that must be identifiable by transaction. The December 2012 amendments to...more

Weekly Update Newsletter - November 2014

DoD Issues Proposed Rule to Amend DFARS Inflation Adjustment of Acquisition- Related Thresholds (DFARS Case 2014-D025) - The Department of Defense (DoD) issued a proposed rule to amend the Defense Federal Acquisition...more

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