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De Minimis Claims Securities and Exchange Commission (SEC)

Troutman Pepper

Upcoming Deadline for Resource Extraction Issuers to File First Form SD Disclosures

Troutman Pepper on

On March 16, 2021, Rule 13q-1 under the Securities Exchange Act of 1934, as amended (Exchange Act), took effect. This rule requires resource extraction issuers to disclose on Form SD information relating to payments made to a...more

Dechert LLP

SEC Adopts Money Market Fund Reforms; Form PF Amendments

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Today, the Securities and Exchange Commission, by a vote of 3 to 2, approved amendments to Rule 2a-7 and other rules that govern money market funds under the Investment Company Act of 1940 (Amendments). Among other things,...more

White and Williams LLP

Understanding the Real Estate and Tax Implications of Florida's Buyer Ban Law

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Last month, Gov. Ron DeSantis (R) of Florida signed a new law that would prohibit people who are not U.S. citizens or permanent residents and whose "domicile" is in China from purchasing certain real property in the state....more

Dechert LLP

Preparing for the 2024 Elections: Pay-to-Play and Other Considerations for Managers of Public Pension Plan Assets

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With the 2024 elections fast approaching, investment advisers must continue to be mindful of political contributions by their personnel if they manage or intend to manage public pension plan assets, among other compliance...more

Proskauer Rose LLP

SEC Proposes Increasing the 13F Threshold to $3.5 billion

Proskauer Rose LLP on

On July 10, 2020, the Securities and Exchange Commission (“SEC”) proposed significantly increasing the reporting threshold requiring the filing of a Form 13F to $3.5 billion, a 35-fold increase from the current threshold....more

Vedder Price

Investment Services Regulatory Update - February 2018

Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts – SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues Guidance on Cryptocurrency-related Holdings - On January 18, 2018, the staff of the SEC’s Division of Investment...more

Stinson - Corporate & Securities Law Blog

Pay-to-Play Enforcement Sweep Snares Private Equity and Venture Capital

On January 17, 2017, the SEC announced nine settled enforcement actions for violations of the pay-to-pay rule against private equity, venture capital and hedge fund sponsors. The firms involved agreed to pay monetary...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - October 25, 2013

In this issue: - SEC Proposes New Rules for Crowdfunding Exemption - CFTC Provides Clarification for SD and MSP Employees Acting in Clerical or Ministerial Capacities - CFTC Requests Public Comment on MAT...more

Akin Gump Strauss Hauer & Feld LLP

Swaps Based on Foreign Securities May Soon Count Toward De Minimis Calculations

In their joint swap definitions release in July 2012, the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) made a distinction between (i) a “compo” equity total return swap, in...more

Holland & Knight LLP

SEC Files Initial Brief in Conflict Minerals Rule Case

Holland & Knight LLP on

The SEC recently filed its initial brief in the case pending in the United States Court of Appeals for the D.C. Circuit in which the National Association of Manufacturers, United States Chamber of Commerce, and Business...more

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