Proposed Amendments

News & Analysis as of

US Securities and Exchange Commission Proposes Rule Amendments to Improve Municipal Securities Disclosures

The SEC proposed rule amendments to improve investor protection and enhance transparency in the municipal securities market. These proposed amendments are intended to provide timely access to information regarding certain...more

House Bill 89: Does It Grant or Just Tweak The Power to Abolish a Public Housing Authority?

Since 1969, Chapter 157 of the North Carolina General Statutes (the "Housing Authority Law") has allowed municipalities and counties to create and abolish Public Housing Authorities. Over the years, the General Assembly has...more

Amendments to the civil legislation re the institute of invalidity of transactions

The Law of 27 February 2017 - The law of 27 February 2017 introduced very important amendments to the civil legislation, which entail significant consequences, both for future transactions and for transactions made in...more

SEC Proposes Inline XBRL Filing of Tagged Data

On March 1, 2017, the Securities and Exchange Commission (SEC) published for comment a proposed rule requiring the use of the Inline eXtensible Business Reporting Language (XBRL) format for the submission of operating company...more

SEC Proposes Amendments to Rule 15c2-12 to Expand Municipal Securities Disclosures

On March 1, 2017, the Securities and Exchange Commission (SEC) published for comment proposed amendments to Rule 15c2-12 under the Securities Exchange Act of 1934 (Exchange Act) that would expand the list of events triggering...more

SEC Proposes Significant Alterations for Financial Obligation Disclosures for Governmental Issuers and Certain Nonprofit...

The Securities and Exchange Commission (the "SEC") recently sent a clear message to participants in the municipal markets: it intends to require a greater level of disclosure, and more timely disclosure, regarding an...more

How The Proposed Fix To Delaware’s Stockholder Consent Statute Can Be Fixed

Earlier this week, I wrote about a proposed amendment to Section 228 of the Delaware General Corporation Law. The amendment, which is proposed by The Corporate Council of the Corporation Law Section of the Delaware State...more

SEC Proposes Expansive New Continuing Disclosure Requirements Regarding Private Debt and Other Financial Obligations

On March 15, 2017, the Securities and Exchange Commission (“Commission” or “SEC”) published in the Federal Register for comment proposed amendments to Rule 15c2-12 (the “Rule”) under the Securities Exchange Act of 1934...more

EPA Stays RMP Rule Amendments and Grants Petition for Reconsideration

The U.S. Environmental Protection Agency has stayed the implementation of a significant revision of the Risk Management Program (RMP) rule pending the receipt of additional comments. Simultaneously, EPA has granted a request...more

Alert: Newly Released Delaware Corporate Law Amendments Would Permit Blockchain Shares

The Corporate Council of the Corporation Law Section of the Delaware State Bar Association has released a long-awaited set of proposed amendments to the Delaware General Corporation Law (DGCL). The amendments are the latest...more

After 25 Years, Delaware Begins To See The Light

A quarter century ago, I wrote a brief piece criticizing how Delaware handled stockholder action by written consent...more

Top 10 Proposed Changes to Iowa's Workers' Compensation Law

The Iowa Legislature is currently reviewing proposed legislation pertaining to Iowa’s Workers’ Compensation laws. The proposed legislation has been introduced as House File 518, with companion Senate File 435. ...more

Proposed Amendments to New Zealand Privacy Law

The New Zealand Privacy Commissioner (Commissioner), John Edwards, recently released a report reviewing the Privacy Act 1993 (Act). The report recommends amendments to the Act as part of the overhaul of New Zealand privacy...more

Tax Highlights of Proposed Illinois “Grand Bargain”

In an effort to resolve Illinois’ 20-month budget impasse, the Illinois Senate leadership (Senate Majority Leader John Cullerton and Senate Minority Leader Christine Rodogno) have jointly proposed a series of bills to...more

The SEC’s Proposed Changes to Rule 15c2-12 Could Have Far-Reaching Impact on Issuers and Obligors of Municipal Securities

On March 1, 2017, the Securities and Exchange Commission (“SEC”) issued Release No. 34-80130 (the “Release”) proposing several amendments to its Rule 15c2-12 (the “Rule”) that would add two new events to the list of events...more

New Amendments to Federal Rule of Evidence 902 Implicate Electronic Data Collection and Authentication

Two proposed amendments to Federal Rule of Evidence 902 could have a significant impact on the collection of electronically stored information (ESI) and its admission at trial. While these amendments were aimed at reducing...more

FINRA Proposes to Permit Use of Predictions/Projections of Investment Strategy Performance

In February, the US Financial Industry Regulatory Authority (“FINRA”) proposed amendments to its rule regarding communications with the public, Rule 2210, that would allow broker-dealers to distribute a customized...more

FINRA Requests Comment on Proposed Amendments to Rules Governing Communications with the Public

Introduction - On February 10, 2017, the Financial Industry Regulatory Authority, Inc. (“FINRA”) requested comments on proposed amendments to Rule 2210 (Communications with the Public) to allow performance projections in...more

Proposed Amendment Requires Supporting Papers to Accompany TROs

Currently, the New York Civil Practice Law and Rules permit temporary restraining orders (“TROs”) to be issued without notice to the opposing party – though this practice is discouraged by most judges. CPLR § 6313(a). Notice...more

SEC Proposes Additional Event Disclosures for Municipal Bond Issuers

On March 1, 2017, the Securities Exchange Commission voted in open meeting to propose amendments to Rule 15c2-12 under the Securities Exchange Act of 1934 adding two event notices to the current fourteen required in...more

CFTC Proposes Updated Recordkeeping Rules

The Commodity Futures Trading Commission (the “CFTC”) recently proposed certain amendments to Regulation 1.31 (“§1.31”), which sets forth requirements for records required to be kept under the Commodity Exchange Act (the...more

SEC Proposes Amendments to Rule 15c2-12 to Address Bank Loan Disclosure Concerns

At its meeting on March 1, 2017, the United States Securities and Exchange Commission (SEC) voted to formally propose and publish for comment amendments to Rule 15c2-12 to add two additional disclosure events to written...more

UK Treasury confirms change to the Regulated Activities Order

The UK Treasury confirmed today that it will amend Article 53 of the Regulated Activities Order (covering the regulated activity of “advising on investments”) to bring it into line with the definition of “giving investment...more

CMS Proposes Affordable Care Act Exchange, Individual, and Small Group Insurance Market Changes

Not relying on Congress to take action on the Affordable Care Act, the Centers for Medicare and Medicaid Services (“CMS”) has proposed new regulations intended to attract health insurance issuers back into ACA health...more

Structured Thoughts: News for the financial services community, Volume 8, Issue 2

Identifying Conflicts of Interest in Structured Products Offerings - With FINRA and other regulators focused on conflicts of interest in the broker-dealer industry, market participants are working diligently to identify...more

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