SEC/CORPORATE -
SEC Division of Corporation Finance Provides Update on Conflict Minerals Rule -
On April 7, the Securities and Exchange Commission Division of Corporation Finance (the Division) issued a statement...more
4/17/2017
/ AML/CFT ,
C&DIs ,
Conflict Mineral Rules ,
Crowdfunding ,
Form SD ,
Futures Commission Merchants (FCMs) ,
Guidance Update ,
JOBS Act ,
No-Action Letters ,
Sanctions ,
UK Brexit
SEC/CORPORATE -
Acting SEC Chair Directs Staff to Reconsider Pay Ratio Disclosure Rule -
On February 6, the acting Securities and Exchange Commission Chairman, Michael Piwowar, issued a statement soliciting public...more
SEC/Corporate -
SEC Releases Rule 504 Small Entity Compliance Guide for Issuers -
The Securities and Exchange Commission recently released a Small Entity Compliance Guide for Issuers, which provides a brief summary...more
2/6/2017
/ AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Conflict Mineral Rules ,
EDGAR ,
Electronic Blue Sheets ,
Electronic Filing ,
EMIR ,
EU ,
European Economic Area (EEA) ,
Form SHC ,
MiFID II ,
No-Action Relief ,
Rule 504 ,
UK ,
UK Brexit
On April 29, Keith Higgins, the Director of the Securities and Exchange Commission’s Division of Corporation Finance, issued a public statement offering guidance on companies’ compliance with the conflict minerals rule in...more
In this issue:
- SEC Issues Statement on the Effect of the Recent US Court of Appeals Decision on the Conflict Minerals Rule
- CFTC Extends Relief From Oral Communication Recording Requirement
- CFTC...more
On April 14, the US Court of Appeals for the District of Columbia Circuit issued an opinion in the lawsuit challenging the Securities and Exchange Commission’s conflict minerals rule which reversed, in part, the prior...more
In this issue:
- US Court of Appeals for the District of Columbia Circuit Partially Invalidates Conflict Minerals Rule
- FINRA Proposes Rule 2081 to Prohibit “Bargained-For” Expungements
- SEC Issues FAQs...more
On April 7, the Division of Corporation Finance of the Securities and Exchange Commission issued nine new responses to frequently asked questions regarding the disclosure of conflict mineral usage that is required by rules...more
In this issue:
- SEC Issues New FAQs on Conflict Minerals
- SEC Issues Frequently Asked Questions Regarding the Amendments to the Broker-Dealer Reporting Rule
- FINRA Requests Comment on Rules Regarding...more
On January 7, the US Court of Appeals for the District of Columbia Circuit held oral arguments for the lawsuit challenging the Securities and Exchange Commission’s conflict minerals rule. According to reports on the hearing,...more
On July 23, the US District Court for the District of Columbia issued a decision granting the Securities and Exchange Commission’s motion for summary judgment in a challenge to the SEC’s “conflict minerals” rule that was...more
On May 30, the Division of Corporation Finance of the Securities and Exchange Commission issued responses to frequently asked questions regarding the disclosure of conflict mineral usage and payments by resource extraction...more
On May 2, Lona Nallengara and Shelley E. Parratt, the acting director and the deputy director, respectively, of the Securities and Exchange Commission’s Division of Corporation Finance, participated in a roundtable...more
The National Association of Manufacturers, the Chamber of Commerce of the United States of America and Business Roundtable recently filed their opening brief with the US Court of Appeals for the District of Columbia Circuit...more