News & Analysis as of

Disclosure Requirements

House Committee Approves Bills that Would Repeal Conflict Minerals and Mine Safety Disclosure Requirements

by White & Case LLP on

On November 15, 2017, the House Financial Services Committee (the "Committee") approved two pieces of legislation that would repeal the conflict minerals and mine safety and health disclosure requirements promulgated under...more

SEC Releases Proposed Amendments to Modify and Simplify Public Company Disclosure

by Goodwin on

The SEC has proposed many amendments to its disclosure requirements for public company reports and offering documents, based in large part on the SEC staff study contained in its FAST Act Report. Although largely technical,...more

Blog: Biotech Files Rulemaking Petition For Pilot Program Mandating Public Disclosure Of Short-Sale Positions

by Cooley LLP on

A rulemaking petition has been submitted to the SEC by a biopharmaceutical company that is “developing and marketing regenerative and therapeutic biologics.” The petition requests that the SEC promulgate rules to establish a...more

SEC proposes rule amendments under the FAST Act to modernize and simplify disclosure

by Hogan Lovells on

The SEC recently proposed amendments intended to update, streamline and improve its disclosure framework and to reduce the compliance burden for public companies. The proposed amendments, which are detailed in the proposing...more

SEC Approves Significant Changes to Auditor’s Reports: New Disclosure Implications for Companies

by King & Spalding on

On October 23, 2017, the Securities and Exchange Commission, or the SEC, unanimously approved new rules and amendments designed to render auditor’s reports more informative to investors. These provisions were proposed by the...more

Bill 27: Expansion of the Conflicts of Interest Act to Public Agencies

by Field Law on

Bill 27 passed first reading in the Alberta Legislature on November 8, 2017. If passed, the legislation will amend the Conflicts of Interest Act (the "Act"), and expand its coverage to include public agencies, boards and...more

House Committee to Consider Repeal of Conflict Minerals and Mine Safety Disclosures

The House Financial Services Committee has announced it intends to meet to consider mark-ups of bills to repeal the conflicts minerals disclosures (H.R. 4248) and mine safety disclosures (H.R. 4289) on November 14, 2017....more

SEC Cyber Watch: Finally, New Guidelines for Breach Disclosures?

The U.S. Securities and Exchange Commission has signaled that it expects to issue updated guidelines on reporting cybersecurity incidents. “I think this issue is important enough, wide-ranging enough that we should tackle...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Big news out of Uber this weekend, where the company and its board resolved outstanding issues with Travis Kalanick in order to finalize a deal in which a SoftBank-led consortium of investors will buy up about $1 billion of...more

Bridging the Week - November 2017

by Katten Muchin Rosenman LLP on

Backers of Tezos Initial Coin Offering Named in Prospective Class Action Litigation: On October 25, the promoters of a highly successful initial coin offering to support development of the Tezos blockchain project and other...more

Instagram Expands its Influencer Tool, but is it Enough?

by Kelley Drye & Warren LLP on

In June, we posted that Instagram users would start seeing a new “Paid partnership with” tag on certain posts. The company explained that this was part of a tool designed to “help creators more clearly communicate to their...more

Privacy Perils: Driverless Cars Are the Future, But Are There Privacy Potholes Ahead?

by Bass, Berry & Sims PLC on

Driverless cars are no longer a far-off pipe dream. Look for Hyundai and Toyota to showcase their driverless models at the upcoming 2018 and 2020 Olympics (in South Korea and Japan, respectively). Many predict that within 10...more

Healthcare Employers, Beware: HIPAA Whistleblowers Could Be (Legally) Leaking Protected Health Information

by Fisher Phillips on

In this day and age, healthcare employers are quite familiar with the Health Insurance Portability and Accountability Act (HIPAA), which protects the disclosure of patients’ confidential health information. After all, in the...more

More On Disclosure Under SEC Rule 701(e)

by Allen Matkins on

As mentioned yesterday, Corporation Finance (often referred to as “Corp Fin”) recently issued a Compliance & Disclosure Interpretation with respect to the disclosure delivery requirements under Rule 701(e). I find myself...more

The USDA’s bioengineered food disclosure standard: Where are we now?

by Thompson Coburn LLP on

More than halfway through the two-year period Congress gave the U.S. Department of Agriculture to develop a disclosure standard and labeling procedures for bioengineered foods, the affected industries are still left with more...more

SEC's Latest Guidance Clarifies Rule 701 Disclosure Delivery Requirements

by Fenwick & West LLP on

The U.S. Securities and Exchange Commission (SEC) on November 6, 2017, clarified the requirements for delivering financial and other disclosures to employees and other service providers receiving options and other equity...more

Proposed Legislation Boosts Enforcement of Foreign Agents Registration Act

by Perkins Coie on

U.S. Senate Judiciary Chairman Chuck Grassley introduced the “Disclosing Foreign Influence Act” last week, a Senate bill which would amend the Foreign Agents Registration Act (FARA), to remove an exemption from registration...more

Corp Fin’s New Rule 701 C&DI And California’s Compensation Plan Exemption

by Allen Matkins on

Yesterday, Broc Romanek reported that Corp Fin has published a new C&DI addressing the permissibility of electronic delivery of disclosures under Rule 701(e). Readers will recall that Rule 701 is an exemption from the...more

No Longer FARA-way: Heightened Exposure of the Foreign Agent Registration Act

by K&L Gates LLP on

Recent “above the fold” headlines generated from Robert Mueller’s investigation of lobbyists and consultants connected to possible Russian interference in the 2016 presidential election have shined the spotlight on the...more

The SEC’s Disclosure Modernization Proposals

Recent proposed rules to modernize and simplify SEC disclosure requirements have gotten a lot of attention. You may recall that the Fixing America’s Surface Transportation (FAST) Act of 2015 directed the SEC to issue a...more

Fed issues consent order for bank’s alleged deceptive practices involving balance transfer credit cards

by Ballard Spahr LLP on

The Federal Reserve Board announced that it had issued a Consent Order against Mid America Bank and Trust Company (Bank) for alleged deceptive marketing practices in violation of section 5 of the FTC Act related to balance...more

Want to Learn More About Fighting Negative CPARS Ratings, Privacy in Government Contracting, the Mandatory Disclosure Rule or Just...

The fall brings many nice things: cooler weather, beautiful leaves, and of course, the Government’s fiscal year end. To those wondering where in the world Kilpatrick’s government contracts attorneys have been (because they...more

Additional Rule 701 Guidance

On November 6, 2017, the Staff of the Division of Corporation Finance provided additional guidance on Rule 701 by issuing this new Compliance and Disclosure Interpretation, Question 271.25, reprinted below...more

Italy's Inside Information Disclosure Requirements Addressed in CONSOB Guidelines

by Jones Day on

The Situation: In July 2016, the Market Abuse Regulation ("MAR") came into effect, introducing detailed requirements for EU listed issuers regarding disclosure of inside information, with a view to fighting market...more

Complying with Lancaster’s Proposed Amendments to Lead Hazards Ordinance

by Barley Snyder on

Lancaster’s city council continues to target lead hazards in city rental units with a new version of a city ordinance. The proposed amendment that attorneys from Barley Snyder are tracking would impose certification and...more

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