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
As discussed in the November 6, 2015 edition of the Corporate and Financial Weekly Digest, on October 30, 2015, the Securities and Exchange Commission adopted “Regulation Crowdfunding,” which consists of final rules that will...more
SEC/CORPORATE -
Crowdfunding Portals Can Now Register With the SEC -
As discussed in the November 6, 2015 edition of the Corporate and Financial Weekly Digest, on October 30, 2015, the Securities and Exchange...more
2/1/2016
/ Crowdfunding ,
Cyber Attacks ,
Electronic Filing ,
Germany ,
Hedge Funds ,
Memorandum of Understanding ,
Regulation C ,
SEFs ,
Senior Managers Insurers Regime (SMIR) ,
Supervision ,
UK
On January 13, the Securities and Exchange Commission announced that it adopted interim final rules to implement changes to Form S-1 and Form F-1 mandated by the Fixing America’s Surface Transportation Act (FAST Act). The...more
SEC/CORPORATE -
SEC Settles With Adviser That Allegedly Overcharged Management Fees and Misled Investors -
On January 19, the Securities and Exchange Commission announced that it had settled with Equinox Fund...more
On December 15, 2015, the Public Company Accounting Oversight Board (PCAOB) adopted new rules and related amendments to auditing standards (Rules) to provide investors with more information about who participates in public...more
Since the adoption of the Fixing America’s Surface Transportation Act (FAST Act) on December 4, 2015, the Division of Corporation Finance (Division) of the Securities and Exchange Commission has issued six Compliance and...more
SEC/CORPORATE -
PCAOB Adopts New Rules Requiring Disclosure of Participants in an Audit -
On December 15, 2015, the Public Company Accounting Oversight Board (PCAOB) adopted new rules and related amendments to...more
On December 11, the Securities and Exchange Commission proposed Rule 13q-1 of the Securities Exchange Act of 1934 (Exchange Act), often referred to as the “resource extraction rule,” which would require an issuer to disclose...more
As previously reported, President Obama signed into law the Fixing America’s Surface Transportation Act (FAST Act) on December 4. The transportation bill includes several provisions related to securities laws and...more
SEC/CORPORATE SEC Division of Corporation Finance Issues New C&DIs on FAST Act -
As previously reported, President Obama signed into law the Fixing America’s Surface Transportation Act (FAST Act) on December 4. The...more
On December 4, President Obama signed into law the Fixing America’s Surface Transportation Act (FAST Act). This transportation bill includes several provisions related to securities laws and capital-raising measures, as...more
SEC/CORPORATE -
FAST Act Legislation and Impact on Securities Law -
On December 4, President Obama signed into law the Fixing America’s Surface Transportation Act (FAST Act). This transportation bill includes...more
On November 16, Securities and Exchange Commissioner Michael Piwowar addressed the 34th Annual Current Financial Reporting Issues Conference in New York to share his views on the current and future state of financial...more
SEC/CORPORATE SEC Commissioner Piwowar Speaks at Current Financial Reporting Issues Conference -
On November 16, Securities and Exchange Commissioner Michael Piwowar addressed the 34th Annual Current Financial Reporting...more
On October 30, the Securities and Exchange Commission proposed amendments to modernize: (1) Rule 147, promulgated under the Securities Act of 1933 (Securities Act) as a safe harbor exempting intrastate offerings from federal...more
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 October 22, the Securities and Exchange Commission’s Division of Corporation Finance (Division) issued Staff Legal Bulletin No. 14H (SLB 14H), which (1) sets forth a new standard for determining when a shareholder proposal...more
SEC/CORPORATE -
ISS Releases 2016 Draft Voting Policy Changes for Comment -
On October 26, Institutional Shareholder Services (ISS), a leading proxy advisory firm, released for comment draft voting policy changes...more
11/2/2015
/ Banking Examinations ,
Board of Directors ,
CFTC ,
Clearing Agencies ,
Derivatives Clearing Organizations ,
Directors ,
Federal Reserve ,
Financial Conduct Authority (FCA) ,
HMRC ,
Institutional Shareholder Services (ISS) ,
Publicly-Traded Companies ,
Registration Requirement ,
Rule 14a-8 ,
Securities and Exchange Commission (SEC) ,
Senior Managers Insurers Regime (SMIR) ,
Shareholder Proposals ,
Shareholders
On October 6, the US House of Representatives passed the Disclosure Modification and Simplification Act of 2015 (H.R. 1525), which, if enacted, would require the Securities and Exchange Commission to (1) revise Regulation S-K...more
SEC/CORPORATE -
House Passes Disclosure Modification and “4(a)(1)(1/2)” Bills -
On October 6, the US House of Representatives passed the Disclosure Modification and Simplification Act of 2015 (H.R. 1525), which, if...more
10/12/2015
/ Advisory Committee ,
CFTC ,
Derivatives ,
EMIR ,
Equity Research Rule ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Form 10-K ,
Market Risk Capital Rule ,
NASD ,
Registration Requirement ,
Regulation S-K ,
Securities and Exchange Commission (SEC)
On September 28, Institutional Shareholder Services (ISS), a leading proxy advisory firm, published the results of its 2015–2016 global voting policy survey. The survey, which received 421 responses from a combination of...more
SEC/CORPORATE -
ISS Publishes Results of 2015–2016 Annual Global Policy Survey -
On September 28, Institutional Shareholder Services (ISS), a leading proxy advisory firm, published the results of its 2015–2016...more
10/5/2015
/ Banks ,
Broker-Dealer ,
Bylaws ,
CEOs ,
CFTC ,
Consumer Financial Protection Bureau (CFPB) ,
Consumer Lenders ,
Corporate Governance ,
Derivatives ,
Derivatives Clearing Organizations ,
Director Compensation ,
EU ,
European Securities and Markets Authority (ESMA) ,
FFIEC ,
Financial Industry Regulatory Authority (FINRA) ,
GAAP ,
Independent Boards ,
Institutional Shareholder Services (ISS) ,
Liquidity Risk Management Rule ,
Proxy Access Rule ,
Proxy Season ,
Regulation Technical Standards (RTS) ,
Securities and Exchange Commission (SEC) ,
Swaps ,
Trade Market Abuse
On September 23, the Securities and Exchange Commission Advisory Committee on Small and Emerging Companies (Advisory Committee) met to discuss, and submit to the SEC, recommendations regarding (1) public company disclosure...more
SEC/CORPORATE -
SEC Advisory Committee on Small and Emerging Companies Makes Recommendations -
On September 23, the Securities and Exchange Commission Advisory Committee on Small and Emerging Companies (Advisory...more
9/28/2015
/ ACH Payments ,
Asset Diversification ,
Banking Sector ,
Broker-Dealer ,
CFTC ,
Derivatives ,
Derivatives Clearing Organizations ,
Emerging Growth Companies ,
FDIC ,
Financial Conduct Authority (FCA) ,
Finders ,
Investment Funds ,
IRS ,
Mutual Funds ,
Registration Requirement ,
Rule 147 ,
SEC Advisory Committee ,
Securities and Exchange Commission (SEC) ,
Supervision ,
U.S. Treasury ,
UK