Public Disclosure

News & Analysis as of

Addressing Climate Change in SEC Filings and Other Public Disclosures: What These Disclosures Mean for Businesses

Regulatory agencies are focusing on required climate change-related disclosures in securities filings and other public disclosures, seeking to ensure not only that such disclosures are made, but also that they are supported...more

SEC Proposes Rules Requiring Public Disclosure of Operations and Activities of Alternative Trading Systems, Broker-Dealer...

On November 18, 2015, the Securities and Exchange Commission (“SEC”) issued Release No. 34-76474 (the “Proposing Release”) in which the SEC proposed rules designed to enhance operational transparency and regulatory oversight...more

SEC Proposes Rules To Enhance Transparency And Oversight Of Alternative Trading Systems

The SEC announced this week its proposal to substantially overhaul the rules regarding alternative trading systems (“ATS”), often referred to as dark pools. The proposed rules would require firms operating ATSs to make...more

Verifying Anti-Corruption Programs – Insights from TI-USA

Has your company implemented a program to prevent, deter and detect corruption? If so, have you verified it to ensure it is effective and appropriate for the level of risk faced by your company? Verification of...more

Reporting for Duty: HMDA Regs Finalized

Why it matters Reporting requirements for financial institutions under the Home Mortgage Disclosure Act (HMDA) regulations were finalized by the Consumer Financial Protection Bureau (CFPB), with most provisions of the...more

NYSE Amends Rule Regarding Disclosure of Material Nonpublic Information

Companies listed on the New York Stock Exchange (NYSE) are certainly familiar with the NYSE rules regarding public disclosure of material information. Those rules require prompt disclosure of material information that may...more

TLAC, and Then Some… A Preliminary Assessment of the Federal Reserve Board’s NPR

On Friday, October 30, 2015, the Federal Reserve Board (“Board”) reaffirmed its commitment to both the bank holding company model and single point of entry resolution. In a departure from historical views of the purpose and...more

Governor Brown Signs Legislation Changing Commercial Building Owner Obligations on Energy Usage Disclosure

On October 8, 2015, California Governor Jerry Brown signed into law AB 802, which among other actions repeals the existing nonresidential building energy usage disclosure requirements. The prior law, AB 1103, codified in the...more

Managing Legal and Reputational Risks in an Era of Enhanced Transparency

Companies face a range of new requirements and expectations calling for enhanced transparency regarding human rights-related risks in connection with their operations. Responsible compliance with both mandatory requirements...more

OEHHA Issues Further Modification of Warning Website Regulations

On September 4, 2015, the California Office of Environmental Health and Hazard Assessment (“OEHHA”) provided notice of additional changes to its proposal to establish a website, operated by OEHHA, which would provide...more

New Legislation (AB 802) To Replace Existing Energy Use Disclosure Law (AB 1103)

On Thursday, October 8, 2015, Governor Jerry Brown signed into law Assembly Bill 802 (AB 802). AB 802 creates a new energy use disclosure program for the State of California, and replaces the existing law, Assembly Bill 1103...more

HOLY HMDA! CFPB Finalizes Changes to Home Mortgage Disclosure Rule

On October 15, 2015, the CFPB released a final rule amending Regulation C, 12 C.F.R. part 1003, which implements the Home Mortgage Disclosure Act (HMDA). Like the August 2014 proposed rule, the final rule includes changes to...more

Latest Developments in Corruption Enforcement in China

The past quarter has been an active one for Chinese government enforcement activities, and the year ahead promises more of the same. Recent developments include: the strengthening of Chinese bribery laws, increased action...more

EPA’s New Refinery Rule—Next Generation Compliance in Action

The U.S. Environmental Protection Agency (EPA) signed a new air pollution rule in September that illustrates how EPA is implementing its next generation compliance ideas. The rule governs hazardous air emissions from...more

Two Major Implications for Consumer Finance Industry from This Month’s Proposed CFPB Rules

When the Consumer Finance Protection Bureau (CFPB) released its study on the use of pre-dispute arbitration (PDA) clauses earlier this year, many expected the CFPB to propose a ban on all PDAs in contracts for consumer...more

PTO Releases Report on Confirmatory Genetic Diagnostic Testing

More than three years after the June 15, 2012 deadline for providing it, the U.S. Patent and Trademark Office has issued its report on so-called "second opinion" genetic diagnostic testing, mandated by Section 27 of the...more

Advocate General Of ECJ Rules EU Data Protection Authorities Can Investigate Complaints About Safe Harbor Programme

Data transfers can be suspended until investigation is complete. In Maximillian Schrems v. Data Protection Commissioner (case C-362/14), the Advocate General ruled that EU data protection authorities do have powers to...more

Relator’s Allegations from Prior Lawsuit Serves as Basis for Public Disclosure Bar Dismissal

In United States ex rel. Wilhelm v. Molina Healthcare of Florida, No. 12-24298, 2015 WL 5562313 (S.D. Fla. Sept. 22, 2015), the court provided further clarification on two frequently litigated issues of the FCA’s public...more

FCC Updates Contest Rule to Provide Flexibility to Meet Disclosure Requirements

Radio and television stations, as well as their audiences, have reason to celebrate. Last week, the Federal Communications Commission (FCC) announced significant updates to its regulations regarding the disclosure of material...more

NYSE Amends Rules for Release of Material News

Changes to Notification Requirements - Notifications During Pre-Market Hours. Currently, Rule 202.06 requires listed companies to notify the NYSE at least 10 minutes before they release material news “shortly before the...more

NYSE Rule Change to Effect Issuers Public Announcements

On August 27, 2015, the New York Stock Exchange (the “NYSE” or the “Exchange”) filed with the Securities and Exchange Commission (the “Commission”) a proposed change to Section 202.06 of the NYSE Listed Company Manual (the...more

California Attorney General’s Open Data Initiative – The Latest in State and Federal Government Efforts to Harness the Power of...

Early this month, California Attorney General Kamala D. Harris announced a unique data initiative to expand the public’s access to key criminal justice information that has been, to date, largely blocked from public...more

New Study Released on the 8-K Trading Gap

On September 7, 2015, a new study on the “8-K trading gap” conducted by researchers at Harvard and Columbia law schools was released. The “8-K trading gap” refers to the four business day period before SEC reporting...more

Private Foundations: A Brief Overview of Rules and Practical Steps for Grant-Making

Private Foundation Rules to Remember - Private foundations must follow a variety of rules to avoid the imposition of potentially onerous penalty taxes on the foundation and its related parties...more

Third Circuit Upholds Application of pre-ACA Public Disclosure Bar to FCA Claims Filed after the ACA’s Effective Date

On August 26, the United States Court of Appeals for the Third Circuit upheld a district court’s decision to apply the version of the FCA’s public disclosure bar in existence before the enactment of the Patient Protection and...more

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