Proposed Amendments

News & Analysis as of

Financial Services Weekly News - November 2015 #4

Regulatory Developments - SEC Proposes Amendments to Regulation ATS to Shine a Light on Dark Pools: On Nov. 18 the SEC announced that it had issued Release No. 34-76474 proposing amendments to Regulation ATS,...more

Update on Proposed Amendments to the Borrower Defense to Repayment Rule

The U.S. Department of Education (“USDE”) is continuing to move forward with issuing new regulations regarding the “Borrower Defense to Repayment Rule” (“BDRR”). The BDRR concerns the ability of a Direct Loan borrower to seek...more

The New Rules: Making Lawsuits Speedier and Less Expensive

Be prepared, litigators, amendments to the Federal Rules of Civil Procedure are coming on December 1, 2015. These changes represent the Advisory Committee’s attempt to fulfill Rule 1’s goal of “just, speedy, and inexpensive”...more

Focus on Tax Controversy and Litigation - Second Circuit Determines that Tax Memo Shared Between Taxpayers and Banks Is Protected...

In addition to the discussion of the Second Circuit’s decision in Schaeffler, this month’s issue features articles regarding the “new” IRS Notices covering “Basket Options” and “Basket Contracts”, the Tax Court’s recent...more

Proposed Amendments Regarding Proposition 65 Settlements

This is Archer Norris attorney Peter W. McGaw’s comment letter to the Attorney General on the proposed amendments to the Title 11, Division 4 regulations regarding settlement of Proposition 65 cases. Please see full...more

SEC Proposes Amendments to Rules 147 and 504

On October 30, the Securities and Exchange Commission proposed amendments to modernize: (1) Rule 147, promulgated under the Securities Act of 1933 (Securities Act) as a safe harbor exempting intrastate offerings from federal...more

Far From The Madding Crowdfunding: A look at the SEC’s proposed changes to Rule 147 and Rule 504

On October 30, 2015, the Securities and Exchange Commission adopted the final rules for “Regulation Crowdfunding” nearly two years after issuing its proposed rules and over three years after the enactment of Title III of the...more

NAIC IUL Illustration Subgroup Proposes Revisions to Actuarial Guideline 49

On November 3, the National Association of Insurance Commissioners (NAIC) IUL Illustration (A) Subgroup circulated for comment proposed revisions (Proposed Revisions) to recently adopted Actuarial Guideline 49 governing...more

Manatt on Health Reform: Weekly Highlights - November 2015

Montana receives approval to expand Medicaid beginning 2016; California’s $6.2 billion Medicaid waiver receives pre-approval; and HHS proposes broadening circumstances under which states receive enhanced federal matching...more

Capital Formation Bills to be Included in Transportation Bill

Chairman Hensarling offered an amendment to a transportation and transportation bill, which includes a number of JOBS Act and other capital formation related bills that had received bipartisan support. The capital formation...more

"Corporate Finance Alert: SEC Finalizes Crowdfunding Rules, Proposes to Expand Intrastate Offering and Rule 504 Exemptions"

The U.S. Securities and Exchange Commission (SEC) recently took several important steps to facilitate smaller securities offerings. First, it adopted final rules for the new Securities Act exemption for securities-based...more

Rule 147 Changes May Cause Uptick In California Securities Qualifications

As has been widely noted, the Securities and Exchange Commission has proposed amending Rule 147 under the Securities Act of 1933.  That Rule provides a safe harbor for compliance with the Section 3(a)(11) exemption from...more

SEC Final Crowdfunding Rules and Proposed Amendments to Rule 147 and Rule 504

The SEC has published the Final Crowdfunding Rules following their earlier meeting wherein the rules were adopted. ...more

UK 2015 Summer Finance Bill Update: Proposed Taxation Changes for Carried Interest and DIMF

Further to our client alert in July this year, the UK Government recently proposed further changes to the UK taxation of carried interest and disguised investment management fees (DIMF). The UK Government proposed...more

TSCA Reform Bills Advance in House and Senate

S. 697, the Frank R. Lautenberg Chemical Safety for the 21st Century Act, was the subject of a legislative hearing at the Environment and Public Works Committee in April, and was reported favorably to the full Senate along...more

Crowdfunding Nears?

The SEC announced that the Commission will hold an open meeting on Friday to consider the final crowdfunding rules, as well as to consider whether to propose amendments to Rule 147 (intrastate crowdfunding) and Rule 504....more

Environmental Notes - October 2015

In a significant setback for the Obama Administration, the U.S. Court of Appeals for the Sixth Circuit has temporarily blocked implementation of the Clean Water Rule issued jointly by EPA and the U.S. Army Corps of Engineers...more

Improvements or Impositions? EPA Proposes Amendments to Hazardous Waste Generator Rules

EPA recently published proposed significant amendments to the generator portions of its hazardous waste regulations, including a major reorganization and consolidation of the generator requirements into one subpart of the...more

National Park Service Proposes Sweeping Changes to Oil and Gas Regulations

The National Park Service (“NPS”) today proposed a major overhaul of its regulations for non-federal oil and gas operations in National Park units. See 80 Fed. Reg. 65,572 (Oct. 26, 2015). Although the NPS press statement...more

Counterfeit Parts Rule: Do You Know Where Your Parts Came From?

You may have heard about DFARS 252.246-7007, Contractor Counterfeit Electronic Part Detection and Avoidance System, also known as the “Counterfeit Parts Rule.” The rule requires contractors who provide electronic parts to the...more

Canada Adopts the Nice Classification for Goods and Services

On September 28, 2015, the Canadian Intellectual Property Office (“CIPO”) began accepting trademark applications with goods and services classified according to the Nice Classification. This signals the first step in a...more

Identification of Cases in Comments to Proposed Rule Change Is Consistent With Prior Guidance in PTAB Practice Guide

Privity and real party-in-interest (RPI) issues have become important, sometimes case determinative, for petitioners filing post-grant challenges such as inter partes reviews and covered business method reviews. The U.S....more

The New New Proposed Amendments to Rule 23

Last week, the Rule 23 Subcommittee released its latest draft proposal for amending Rule 23. (2015-1105 Rule 23 Subcommittee Report) - The Subcommittee has abandoned (or in a few cases, placed “on hold”) several of its...more

The Revised EC Regulation on Insolvency Proceedings Seeks to Resolve Practical Concerns

The European Council Regulation No 1346/2000 on insolvency proceedings (the Regulation) was adopted in May 2000 and came into force on 31 May 2002 in order to establish a European framework for cross-border insolvency...more

Blog: SEC’s New “Investor Advocate” Takes A Stand On NYSE Proposed Rule Change

Today, the new Investor Advocate, Rick Fleming, issued a statement regarding his “First Official Recommendation” to the SEC. What was that recommendation? He recommended that the SEC disapprove the NYSE’s proposed rule...more

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