News & Analysis as of

Pricing Securities and Exchange Commission (SEC)

Cooley LLP

Final Changes: The Upsizing or Downsizing Handbook

Cooley LLP on

Pricing day is a huge milestone in the initial public offering (IPO) journey. It is the culmination of months of preparation and drafting and being out on the road talking to investors. Before you hit the road, you’ll have...more

Davis Wright Tremaine LLP

SEC Amends Reg. NMS, Changing Minimum Pricing Increments, Access Fee Caps, and Round Lot/Odd Lot Dissemination

The Securities and Exchange Commission adopted amendments to Reg. NMS on September 18, 2024, covering a broad range of market structure and regulatory issues facing the equities market...more

Davis Wright Tremaine LLP

Beware: Multi-Agency Pricing Task Force

Arising out of a March 2024 meeting of the White House Competition Council, President Biden announced the launch of a Strike Force on Unfair and Illegal Pricing designed "to strengthen interagency efforts to root out and stop...more

King & Spalding

SEC Proposes RIA Outsourcing Rule

King & Spalding on

On October 26, the SEC proposed a new Advisers Act rule (the “Proposed Rule”) that would establish specific obligations for Registered Investment Advisers with respect to outsourcing of “Covered Functions”, as that term is...more

Foster Garvey PC

OTA & Travel Distribution Update - Keyword restrictions - Part II: 1-800 Contacts case; Trivago's strikethrough pricing practices...

Foster Garvey PC on

This week’s OTA & Travel Distribution Update for the week ending April 27, 2018 is below. This week’s Update features a wide variety of stories. I hope you enjoy....more

Foster Garvey PC

OTA & Travel Distribution Update - Trivago's strikethrough pricing practices subject to AU scrutiny; Denmark opens investigation...

Foster Garvey PC on

This week’s OTA & Travel Distribution Update is below and is full of interesting stories. Enjoy....more

Morgan Lewis

NYSE Arca Withdraws Active ETF Generic Listing Standards Proposal as SEC Focus on ETFs Continues

Morgan Lewis on

Withdrawal comes within days of SEC Chair White and Commissioner Aguilar issuing public statements regarding ETFs. On October 19, the US Securities and Exchange Commission (SEC) published a notice stating that NYSE Arca,...more

Goodwin

Financial Services Weekly News - October 2015 #2

Goodwin on

Regulatory Developments: FINRA Proposes Rules for Funding Portals - On Oct. 9 FINRA filed with the SEC a proposed rule change to adopt Funding Portal Rules 100 (general standards), 110 (funding portal application),...more

Morrison & Foerster LLP

SEC Proposes Rules to Require Funds to Adopt Liquidity Risk Management Programs; Allow “Swing Pricing”

At an open meeting on September 22, 2015, the SEC proposed new rules and amendments to existing rules to require open-end investment companies to adopt comprehensive liquidity risk management programs. The rules would also...more

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