SEC/CORPORATE -
SEC Division of Corporation Finance Issues Revised and Additional C&DIs Relating to Form S-8 -
On November 9, the Division of Corporation Finance of the Securities and Exchange Commission issued two...more
11/21/2016
/ Banking Sector ,
Broker-Dealer ,
C&DIs ,
CCPs ,
CFTC ,
Derivatives Clearing Organizations ,
EMIR ,
EU ,
European Securities and Markets Authority (ESMA) ,
FDIC ,
Proxy Season ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
SRO ,
Stress Tests
SEC Issues New C&DI Relating to Submission of Annual Reports to SEC -
On November 2, the Division of Corporation Finance (Division) of the Securities and Exchange Commission issued a new Compliance and Disclosure...more
11/14/2016
/ C&DIs ,
Canada ,
Chief Compliance Officers ,
Corporate Governance ,
EU ,
Forex ,
MiFID II ,
MiFIR ,
Passporting ,
Pay-for-Performance ,
Proxy Season ,
UK ,
UK Brexit
SEC/CORPORATE -
SEC Proposes Amendments To Require Universal Proxy Cards in Contested Elections -
On October 26, the Securities and Exchange Commission voted to propose amendments to the proxy rules that would...more
SEC/CORPORATE -
SEC Division of Corporation Finance Issues C&DIs on Exempt Offerings Under Rule 701 and Sales of Securities Under Rule 144(d) -
On October 19, the staff of the Division of Corporation Finance of...more
SEC/CORPORATE –
SEC Division of Corporation Finance Issues Five Additional C&DIs Relating to Pay Ratio Disclosure Rule –
On October 18, the Securities and Exchange Commission’s Division of Corporation Finance...more
10/24/2016
/ C&DIs ,
Capital Acquisition Broker (CAB) ,
EU ,
Money Market Funds ,
Pay Ratio ,
Regulation S-K ,
Remuneration ,
RTO ,
TRACE ,
UCITS ,
UK
SEC/CORPORATE SEC -
Staff No Longer Requires “Tandy” Representations in Filing Reviews -
On October 5, the staff (Staff) of the Securities and Exchange Commission announced that, effective immediately, a company...more
SEC/CORPORATE -
SEC Increases Registration Statement Filing Fees for Fiscal Year 2017 -
On August 31, the Securities and Exchange Commission announced that, effective October 1, the fees that public companies and...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 -
2016 Amendments to Delaware General Corporation Law Highlight Two-Step Mergers and Appraisal Rights -
On August 1, a number of amendments to the Delaware General Corporation Law (DGCL) went into...more
SEC Proposes Amendments To Update and Simplify Disclosure Requirements: A Closer Look -
On July 13, the Securities Exchange Commission proposed and requested comment regarding rule amendments to update and simplify...more
7/28/2016
/ AIFMD Passport ,
DTCC ,
EU ,
Eurozone ,
GAAP ,
IFRS ,
MiFID II ,
Regulation S-K ,
Regulation S-X ,
TRACE ,
Transparency
BREXIT UPDATE -
Nathaniel Lalone, a Financial Services partner at Katten Muchin Rosenman UK LLP, will continue to share his insight into the evolution of the relationship between the United Kingdom and European Union in...more
7/18/2016
/ Block Trades ,
C&DIs ,
Comment Period ,
EU-US Privacy Shield ,
GAAP ,
IFRS ,
Proposed Regulation ,
Qualified Client ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
UK Brexit
SEC/CORPORATE -
DC Circuit Court Rejects States’ Challenge of Blue Sky Preemption Under Regulation A+ -
On June 14, the Federal Court of Appeals for the District of Columbia (the DC Circuit) rejected challenges...more
6/20/2016
/ Blue Sky Laws ,
Central Counterparties ,
Credit Default Swaps ,
Derivatives Clearing Organizations ,
Futures ,
Margin Requirements ,
No-Action Relief ,
Preemption ,
Regulation A ,
Reporting Requirements ,
Third Country Entities (TCEs)
SEC/CORPORATE -
SEC Adopts Amendment to Form 10-K Permitting the Summary of Business and Financial Information -
On June 1, the Securities and Exchange Commission adopted an interim final rule (Rule), as mandated...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 Division of Corporation Finance Issues 12 New and Revised C&DIs Regarding Non-GAAP Measures -
As noted in the May 13 edition of Corporate and Financial Weekly Digest, SEC Chair Mary Joe White,...more
5/23/2016
/ Auditors ,
C&DIs ,
Cybersecurity ,
EU ,
Financial Conduct Authority (FCA) ,
Mary Jo White ,
MiFID ,
MiFIR ,
Non-GAAP Financial Measures ,
PCAOB ,
Residual Interest ,
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
SEC/CORPORATE SEC Releases Registration Fee Estimator
On April 18, the Securities and Exchange Commission announced the release of an online tool that will assist companies in calculating registration fees relating to...more
4/25/2016
/ Business Conduct Standards ,
Canada ,
Chief Compliance Officers ,
Dodd-Frank ,
EDGAR ,
EU ,
High Frequency Trading ,
Major Swap Participants ,
Memorandum of Understanding ,
NCUA ,
Pensions ,
SFTR ,
UK
SEC/CORPORATE -
SEC Issues No-Action Relief Pursuant to Rule 14a-8(i)(9) -
As previously reported in the Corporate and Financial Weekly Digest edition of October 30, 2015, the Securities and Exchange Commission's...more
On February 25, Securities and Exchange Commission Chair Mary Jo White addressed members of the SEC’s Advisory Committee on Small and Emerging Companies (Committee) at the opening of the Committee’s most recent meeting. As...more
SEC/CORPORATE -
SEC Chair Addresses Advisory Committee on Small and Emerging Companies -
On February 25, Securities and Exchange Commission Chair Mary Jo White addressed members of the SEC’s Advisory Committee on...more
3/7/2016
/ Bonuses ,
CRD IV Directive ,
Credit Default Swaps ,
Cybersecurity ,
Disclosure Requirements ,
Emerging Growth Companies ,
EU ,
Swap Clearing ,
TRACE ,
UCITS ,
UK
The Securities and Exchange Commission announced that its Advisory Committee on Small and Emerging Companies (Committee) will hold another public meeting on February 25 to examine the capital formation landscape for small and...more
On February 12, the Securities and Exchange Commission’s Division of Corporation Finance (the Division) posted on its website 18 no-action letters relating to the exclusion of proxy access shareholder proposals under Rule...more
SEC/CORPORATE -
SEC Advisory Committee on Small and Emerging Companies to Discuss Capital Formation Landscape for Small and Emerging Companies -
The Securities and Exchange Commission announced that its Advisory...more
On January 22, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s funding portal rules and related forms for entities functioning as SEC-registered funding portals pursuant to...more