SEC/CORPORATE -
Supreme Court Rules on Insider Trading Involving Family and Friends -
In its first insider trading decision in nearly two decades, the US Supreme Court ruled unanimously to uphold an insider trading...more
BROKER-DEALER FINRA –
Proposes Changes to Its Inter-Dealer Quotation System for OTC Equity Securities –
The Financial Industry Regulatory Authority has proposed changes to its inter-dealer quotation system referred...more
SEC/CORPORATE -
SEC Seeks Public Comment on Disclosure Requirements of Subpart 400 of Regulation S-K -
On August 25, the Securities and Exchange Commission announced that it is seeking public comment on the
issues...more
SEC/CORPORATE -
SEC Releases Target Dates for Proposed and Final Rulemaking -
The Securities and Exchange Commission recently published its agenda with respect to upcoming rulemaking, including rulemaking...more
5/31/2016
/ Cross-Border Transactions ,
Deposit Accounts ,
EU ,
European Union Delegated Act (EUDA) ,
FDIC ,
Margin Requirements ,
MiFID II ,
Recordkeeping Requirements ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
UK
SEC/CORPORATE -
SEC Approves PCAOB Rules Requiring Disclosure of Audit Participants -
On May 9, the Securities and Exchange Commission adopted the proposed new rules and related amendments to auditing standards...more
SEC/CORPORATE -
SEC Approves Amendments to Implement Provisions of the JOBS Act and FAST Act -
On May 3, the Securities and Exchange Commission approved amendments to revise certain rules under the Securities...more
BROKER-DEALER -
SEC Modifies and Extends Pilot Program for NMS Plan to Address Extraordinary Market Volatility -
The Securities and Exchange Commission has issued an order that modifies and extends the National...more
SEC/CORPORATE -
SEC Publishes Concept Release Regarding Business and Financial Disclosure -
On April 13, the Securities and Exchange Commission published a concept release, recommended by the SEC’s Division of...more
As discussed in our Corporate & Financial Weekly Digest edition of February 12, 2016, on February 10, the European Commission (the Commission) announced proposals to provide for a one-year extension to the application dates...more
BROKER-DEALER -
FINRA Requests Information Regarding Firm Culture and Values -
The Financial Industry Regulatory Authority is requesting firms to submit information regarding their organizational culture and how...more
2/29/2016
/ Banking Examinations ,
Comptroller ,
Corporate Culture ,
Depository Institutions ,
EU ,
Examination Priorities ,
ISDA ,
MiFID II ,
No-Action Letters ,
Recordkeeping Requirements ,
Security-Based Swaps ,
Stress Tests ,
UK
On February 10, the European Commission (EC) announced its legislative proposal (Proposal) that would provide for a one-year extension to the application of the amended Markets in Financial Instruments Directive and the...more
SEC/CORPORATE -
SEC Approves FINRA’s Funding Portal Rules -
On January 22, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s funding portal rules and related forms for...more
SEC/CORPORATE -
Proxy Advisory Firms Release Policy Updates for 2016 -
Institutional Shareholder Services (ISS) and Glass Lewis, two leading proxy advisory firms, recently published their 2016 proxy voting...more
12/7/2015
/ Banking Sector ,
Broker-Dealer ,
CFTC ,
EU ,
Financial Industry Regulatory Authority (FINRA) ,
MiFID II ,
OCC ,
Overboarding ,
Proxy Voting Guidelines ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals ,
Waiting Periods
SEC/CORPORATE -
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...more
On September 28, the European Securities and Markets Authority (ESMA) published a final report (Report) containing draft regulatory and implementing technical standards (Standards) on the revised EU Markets in Financial...more
In this issue:
- SEC Seeks Comment on Possible Enhancement of Audit Committee Disclosures
- SEC Proposes Rule Requiring Executive Compensation Clawbacks
- FINRA Requests Comment on Revised Discretionary...more
7/13/2015
/ Audit Committee ,
CFTC ,
Clawbacks ,
Cross-Border ,
Enforcement Actions ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Futures ,
Greece ,
Hong Kong ,
Margin Requirements ,
MiFID II ,
Securities and Exchange Commission (SEC) ,
Swaps
In This Issue:
- NYSE Amends "Late Filer Rule"
- CFTC Responds to District Court's Remand Order on Certain Cross-Border Swaps Rules
- Delaware Chancery Court Addresses Proper Purpose for Inspection...more
3/16/2015
/ CFTC ,
Cross-Border Transactions ,
Enforcement ,
Enforcement Actions ,
EU ,
European Securities and Markets Authority (ESMA) ,
Inspection Rights ,
Late Filer Rule ,
MiFID II ,
NYSE ,
Securities and Exchange Commission (SEC) ,
Swaps ,
Whistleblowers