Latest Posts › CFTC

Share:

Corporate & Financial Weekly Digest, Featuring Articles on FINRA's Advice to Firms on Protecting Customers from Online Account...

BROKER-DEALER FINRA - Shares Practices Firms Use to Protect Customers from Online Account Takeover Attempts - On April 11, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 21-18 (Notice) in...more

Corporate & Financial Weekly Digest, Featuring Articles on the Latest Guidance From the SEC on SPACs and a FINRA Reminder for...

SEC/CORPORATE - SEC Statements Regarding SPACs Address Warrants and Projections - Following the increase in the number of special purpose acquisition companies (SPACs) and the related business combinations between SPACs...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC Issues Staff Statement on SPAC Transactions, FINRA Modifies TRACE...

SEC/CORPORATE - SEC Corp Fin Staff Issues Statement on SPAC Transactions - On March 31, the staff of the Division of Corporation Finance (the Staff) of the Securities and Exchange Commission issued a staff statement...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC proposes amendments to Rule 144, Elad Roisman named Acting Chairman...

SEC/CORPORATE - SEC Proposes Rule 144 Tacking Amendments - On December 22, 2020, the Securities and Exchange Commission voted to propose amendments to Rule 144 under the Securities Act of 1933 (the Securities Act)...more

Corporate & Financial Weekly Digest, Featuring Articles on NASDAQ Seeks Approval of Board Diversity Rule with SEC, CFTC's Timing...

SEC/CORPORATE - SEC Adopts Amendments to MD&A and Other Financial Disclosures - On November 19, the Securities and Exchange Commission announced that it adopted amendments (the Amendments) to certain financial...more

Corporate & Financial Weekly Digest, Featuring Articles on Electronic Signatures, the Latest ISS Proxy Season Information and...

SEC/CORPORATE - SEC Adopts Amendments Permitting Use of Electronic Signatures for EDGAR Filings - On November 17, the Securities and Exchange Commission adopted amendments to Regulation S-T to permit the use of...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC Amendments to Simplify Offering Exemptions, New FAQs for Post-Trade...

SEC/CORPORATE - SEC Approves Amendments to Harmonize and Simplify Offering Exemptions - On November 2, the Securities and Exchange Commission voted to adopt a set of amendments (the Amendments) to “harmonize, simplify...more

Corporate & Financial Weekly Digest, Featuring Articles on the SEC's Modernized Auditor Independence Rules, FINRA Guidance on...

SEC/CORPORATE - SEC Adopts Amendments to Modernize Auditor Independence Rules - On October 16, the Securities and Exchange Commission adopted amendments (the Amendments) to its long-standing auditor independence rules....more

Corporate & Financial Weekly Digest, Featuring Articles on SEC Guidance on Expiring Confidential Treatment Orders and the CFTC's...

SEC/CORPORATE - SEC Division of Corporation Finance Issues Additional Guidance Related to Expiring Confidential Treatment Orders - On September 9, the Division of Corporation Finance (the Division) of the Securities and...more

Corporate & Financial Weekly Digest, Featuring Articles on New NYSE Direct Listing Rules from the SEC, a CFTC No-Action Letter...

SEC/CORPORATE - SEC Stays Implementation of New NYSE Direct Listing Rules - As discussed in the August 31, 2020 edition of the Corporate & Financial Weekly Digest, on August 26, the Securities and Exchange Commission...more

Corporate & Financial Weekly Digest, Featuring Articles SEC Approvals of Changes to "Accredited Investor" and "Qualified...

SEC/CORPORATE - SEC Amends the Definitions of “Accredited Investor” and “Qualified Institutional Buyer” - On August 26, the Securities and Exchange Commission adopted amendments to the definitions of “accredited...more

Corporate & Financial Weekly Digest, Featuring Articles on Proxy Voting Advice, New CFTC Guidance for Swap Dealers and Updates...

SEC/CORPORATE - SEC Adopts Amendments and Issues Guidance Related to Proxy Voting Advice - On July 22, the Securities and Exchange Commission announced the adoption of amendments (the Amendments) to the SEC’s rules...more

Corporate & Financial Weekly Digest, Featuring Articles on New Standardized Approaches to Cybersecurity Preparedness, FINRA's...

SEC/CORPORATE - SEC Approves Extension of Temporary NYSE Waiver of Stockholder Approval Rules - Recently, the Securities and Exchange Commission issued a release (the Release) approving, with immediate effectiveness,...more

Corporate & Financial Weekly Digest, Featuring Articles on New Disclosure Guidance From the SEC, Changes to Initial Margin Rules...

SEC/CORPORATE - SEC Division of Corporation Finance Issues Additional Disclosure Guidance Related to COVID-19 Pandemic - On June 23, the Division of Corporation Finance (the Division) of the Securities and Exchange...more

Corporate & Financial Weekly Digest, Featuring Articles on New CFTC Guidance for Uncleared Swap Margins and European Regulators...

SEC/CORPORATE - NYSE Provides Temporary Relief From Shareholder Approval Requirements Due to COVID-19 - On May 14, the Securities and Exchange Commission announced the adoption and immediate effectiveness of Section...more

Corporate & Financial Weekly Digest, Featuring Articles on CFTC Rules Changes for Bankruptcy Rules and IOSCO Tackles Sustainable...

SEC/CORPORATE - SEC Approves Temporary NYSE Waiver of Stockholder Approval Rules to Facilitate Capital Raising in the Wake of COVID-19 - On April 6, the Securities and Exchange Commission issued a release (the Release)...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC Publishes Risk Alerts for Reg BI and Form CRS, CFTC Releases...

SEC Division of Corporation Finance Issues C&DI about Conditional Relief Order and Incorporation by Reference Into Form 10-K - On April 6, the Securities and Exchange Commission’s (SEC) Division of Corporation Finance...more

Corporate & Financial Weekly Digest, Featuring Articles on the Recordkeeping Requirements and Filing Deadline Changes as a Result...

SEC/CORPORATE - SEC Further Extends Filing Deadlines for Companies Impacted by COVID-19 - On March 25, the Securities and Exchange Commission issued an order extending conditional relief (the Modified Order) for...more

Corporate & Financial Weekly Digest, Featuring Articles on Rule Changes for Position Limits and Brexit Transitions

SEC/CORPORATE - SEC Division of Corporation Finance Issues C&DIs on Omission of Third Year From MD&A - As previously discussed in the April 12, 2019 edition of Corporate & Financial Weekly Digest, the Securities and...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC Approves Amendments to FINRA New Issue Rules, CFTC Announces...

SEC/CORPORATE - SEC Approves Amended Rule Change to FINRA Rule 5110 - On December 23, 2019, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s (FINRA) proposed amendments to...more

Corporate & Financial Weekly Digest, Featuring Articles on a Number of SEC Proposals Related to Shareholders and Proxy Voting...

SEC/CORPORATE - SEC Proposes New Amendments to Modernize Shareholder Proposal Rules - On November 5, the Securities and Exchange Commission voted to propose amendments to Rule 14a-8 of the Securities Exchange of 1934...more

Corporate & Financial Weekly Digest, Featuring Articles on Proposed SEC Changes for Off-Floor Transfer Options and Guidance From...

SEC/CORPORATE - SEC Proposes Modernization of Filing Fee Disclosure and Payment Methods - On October 24, the Securities and Exchange Commission proposed amendments to update filing fee disclosure and payment methods....more

77 Results
 / 
View per page
Page: of 4

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide