News & Analysis as of

EDGAR

SEC Enforcement Division Priorities Pertaining to Retail Investors and Cybersecurity

by Dechert LLP on

In a keynote speech to the Securities Enforcement Forum on October 26, 2017, U.S. SEC Division of Enforcement (Division) Co-Director Stephanie Avakian emphasized the protection of retail investors and cybersecurity as...more

Annual Report Reminders for Foreign Private Issuers

by Dorsey & Whitney LLP on

There are a couple of recent developments that we would like to remind issuers to keep in mind for their upcoming annual reports. Foreign private issuers who prepare their financial statements in accordance with the...more

SEC Proposes Rule Changes to Modernize and Simplify Public Company Disclosure Requirements

by Reed Smith on

The Securities and Exchange Commission (SEC) issued a long-awaited rule proposal in mid-October implementing many of the SEC staff’s recommendations in its November 2016 Report on Modernization and Simplification of...more

SEC Proposes Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure

by Dorsey & Whitney LLP on

On October 11, the Securities and Exchange Commission proposed amendments to a wide range of its disclosure rules and forms with the goals of updating, streamlining and otherwise improving the SEC’s disclosure requirements...more

SEC Proposes Amendments to Modernize and Simplify Regulation S-K

by Foley & Lardner LLP on

On October 11, 2017, the U.S. Securities and Exchange Commission (SEC) voted to propose amendments to modernize and simplify disclosure requirements in Regulation S-K and related rules and forms to reduce the costs and...more

Investment Services Regulatory Update - October 2017

by Vedder Price on

New Rules, Propsed Rules, Guidance and Alerts - SEC STAFF GUIDANCE AND ALERTS - SEC Staff Extends No-Action Relief on Auditor Independence and the “Loan Provision” - On September 22, 2017, the staff of the SEC’s...more

SEC Proposes Rules To Modernize And Simplify Certain Disclosure Requirements In Regulation S-K And Related Rules And Forms

by Akerman LLP on

On October 11, 2017, the U.S. Securities & Exchange Commission (the Commission) proposed amendments to simplify and modernize the disclosure obligation of public companies in an effort to reduce costs and burdens on...more

Corporate and Financial Weekly Digest - Volume XII, Issue 40

by Katten Muchin Rosenman LLP on

SEC/CORPORATE - SEC-Proposed Amendments to Modernize, Simplify and Increase the Accessibility of Required Disclosure - As previously reported in the October 13, 2017 edition of Corporate & Financial Weekly Digest, on...more

SEC Proposes Modernization and Simplification of Regulation S-K

by Jones Day on

The Situation: In an effort to reduce compliance and cost burdens, the SEC has proposed amendments to some of the rules and forms associated with Regulation S-K. The Result: The proposed modifications relate to property...more

Orrick's Financial Industry Week In Review

SEC Proposes Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure - On October 11, 2017, the Securities and Exchange Commission (SEC) proposed amendments "to modernize and simplify disclosure...more

SEC Proposes Disclosure Changes

by Bryan Cave on

The SEC issued a proposing release on October 11, 2017 to amend a wide variety of disclosure rules, primarily under Regulation S-K, in an effort to modernize and in some cases simplify disclosure requirements for public...more

Cybersecurity, Data Breaches Continue to Make Headlines

Cybersecurity continues to make headlines in the financial services industry, from the recent announcement that the Securities and Exchange Commission (SEC) was targeted by hackers to final approval of the settlement in a...more

Regulatory Update and Recent SEC Enforcement Actions

by Blank Rome LLP on

Investment Firm VanEck Launches Bitcoin Exchange Traded Fund (“ETF”) One Week after Calling Bitcoin a “Fad” - On August 10, 2017, Joe Foster, portfolio manager and strategist for the money management firm VanEck, expressed...more

SEC Proposes to Modernize Certain Disclosure Requirements

On October 11, 2017, the U.S. Securities and Exchange Commission (SEC) voted unanimously to propose changes that would modernize and simplify the disclosure items in Regulation S-K and related rules and forms. The proposed...more

SEC’s Chairman Makes Changes After the Agency’s Latest Cyber-Attack

by Burr & Forman on

The Securities Exchange Commission (“SEC”) has been busy the last couple months on the cyber front. On September 20, the SEC announced a renewed focus on cybersecurity efforts and disclosed that it had been a victim of a...more

SEC Issues Proposed Rules to Modernize and Simplify Regulation S-K

The SEC has proposed amendments to Regulation S-K and related rules and forms. The proposed amendments are based on SEC staff recommendations in a report that was required by Section 72003 of the Fixing America’s Surface...more

Bridging the Week - September 2017 #3

by Katten Muchin Rosenman LLP on

FCM Agrees to Pay US $2.5 Million CFTC Fine for Relying on Affiliate’s Purportedly Misleading Analysis of Block Trades for a CME Group Investigation: Merrill Lynch, Pierce, Fenner & Smith Incorporated agreed to pay a fine of...more

The SEC Gets Hacked: What Now?

by Nossaman LLP on

It was recently revealed that the Securities and Exchange Commission’s (“SEC”) EDGAR database, which is used by public companies to file official documents, was breached. According to the SEC, trading off of that hacked...more

The Financial Report, Vol. 6, No. 18

by DLA Piper on

Discussion and Analysis - The SEC’s recent disclosure that its Electronic Data Gathering, Analysis and Retrieval (EDGAR) system was hacked in 2016 has been receiving a lot of attention in the press. After several years of...more

SEC Chairman Testifies About SEC’s Direction And 2016 Cyberattack

On September 26, 2017, SEC Chairman Jay Clayton testified before the Senate’s Banking, Housing and Urban Affairs Committee regarding the direction of the SEC under his Chairmanship. He also took the opportunity to address the...more

Blog: In Senate Testimony, SEC Chair Offers Insights Into His Thinking On A Variety Of Issues Before The SEC

by Cooley LLP on

In testimony last week before the Senate Committee on Banking, Housing and Urban Affairs, SEC Chair Jay Clayton gave us some insight into his thinking about a number of issues, including cybersecurity at the SEC,...more

Securities and Enforcement Update

by McGuireWoods LLP on

On Sept. 26, 2017, Securities and Exchange Commission Chairman Jay Clayton testified before the Senate Committee on Banking, Housing and Urban Affairs for the first time since his confirmation. Although the testimony and...more

Equifax and SEC Breaches Show You Can’t Hide from Hackers

by Wilson Elser on

Cited as one of the largest incidents of its kind in history, the recent Equifax data breach underscores that every business and individual is vulnerable to theft of sensitive information by unscrupulous hackers. In less than...more

Does The SEC Have Exposure For Tipping Inside Information?

by Allen Matkins on

Yesterday, I discussed the recent hack of the Securities and Exchange Systems’ electronic filing and retrieval system commonly referred to as EDGAR. In a written statement disclosing the hack, Chairman Jay Clayton speculated...more

SEC Hacked!

The Securities and Exchange Commission (SEC) has admitted that it was the victim of a cyberattack in 2016 that exposed information that may have been used for insider trading. The hack involved the SEC’s filing database,...more

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