Securities, Dodd-Frank, JOBS Act

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

The Trump Administration: Change By Appointment

Cadwalader, Wickersham & Taft LLP on 11/21/2016

The election of Donald J. Trump as the 45th President of the United States, along with the Republican control of the majority of both the House of Representatives and the Senate, will likely result in significant changes in...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

Glossary of Important Securities Regulation Terms and Definitions

Adler Pollock & Sheehan P.C. on 8/20/2015

This Glossary is designed to provide law students taking Securities Regulation with a tool that will assist them in learning the basic language of securities law and achieve a working knowledge of the fundamental principles...more

SEC Staff Ready to Recommend Variable Annuity Summary Prospectus

Carlton Fields on 6/19/2015

William Kotapish, an Assistant Director in the SEC’s Division of Investment Management, recently stated that the SEC staff is prepared to recommend that the Commission adopt rules and forms authorizing a variable annuity...more

Lawmakers Claim SEC Proposals Are Contrary To JOBS Act

Stinson - Corporate & Securities Law Blog on 7/30/2013

The SEC recently issued proposals related to Regulation D which, among other things, require a Form D to be filed fifteen days before a general solicitation under Rule 506(c) can commence....more

Securities Law Essentials For Growing Companies

Stinson - Corporate & Securities Law Blog on 1/16/2013

We recently gave a presentation at a CLE titled Securities Law Essentials for Growing Companies. The presentation included an overview of what constitutes a public offering, what is a security, classical private placements,...more

Securities › Dodd-Frank Wall Street Reform and Consumer Protection Act › The Jump-Start Our Business Start-Ups Act