News & Analysis as of

Public Disclosure Proposed Regulation

Regulation Round Up - September 2017

by Proskauer Rose LLP on

1 September - The Prudential Regulation Authority (PRA) updated its April 2017 public disclosure with Template A (Disclosure of Aggregate Statistical Data with regard to Insurance and Reinsurance Undertakings) and Template...more

Proposed Financial Disclosure Changes Could Impact Funds and BDCs

At an open meeting this week, the SEC voted to propose changes to certain disclosure rules affecting public issuers including, among others, investment companies and business development companies (BDCs)....more

SEC Proposes Rules Requiring Public Disclosure of Operations and Activities of Alternative Trading Systems, Broker-Dealer...

by Bracewell LLP on

On November 18, 2015, the Securities and Exchange Commission (“SEC”) issued Release No. 34-76474 (the “Proposing Release”) in which the SEC proposed rules designed to enhance operational transparency and regulatory oversight...more

TLAC, and Then Some… A Preliminary Assessment of the Federal Reserve Board’s NPR

by Morrison & Foerster LLP on

On Friday, October 30, 2015, the Federal Reserve Board (“Board”) reaffirmed its commitment to both the bank holding company model and single point of entry resolution. In a departure from historical views of the purpose and...more

NYSE Rule Change to Effect Issuers Public Announcements

On August 27, 2015, the New York Stock Exchange (the “NYSE” or the “Exchange”) filed with the Securities and Exchange Commission (the “Commission”) a proposed change to Section 202.06 of the NYSE Listed Company Manual (the...more

SEC Proposes Mandatory Incentive Compensation Clawback Rules

by Goodwin on

On July 1, 2015, the Securities and Exchange Commission proposed rules, consisting of new Rule 10D-­1 and related rule and form amendments, that would require clawbacks of incentive compensation received by executive officers...more

SEC Proposes Dodd-Frank Hedging Policy Disclosure Rules

by Perkins Coie on

The Securities and Exchange Commission (SEC) recently released long-awaited proposed rules, as mandated by Section 955 of the Dodd-Frank Act, that would require a public company to disclose whether the company permits its...more

SEC Proposes Rules Requiring Disclosure of Hedging by Employees, Officers, and Directors

by K&L Gates LLP on

On February 9, 2015, the Securities and Exchange Commission (the “SEC”) issued proposed rules to implement Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, requiring disclosure of whether an...more

SEC Proposes Rules for Disclosure of Hedging by Employees, Officers, and Directors

by Benesch on

Boards of Directors of companies subject to the federal proxy rules should take note of proposed rules released by the Securities and Exchange Commission (SEC) on February 9, 2015 that would enhance corporate disclosure of...more

SEC Proposes Disclosure Rule for Company Hedging Policies

by White & Case LLP on

On February 9, 2015, the Securities and Exchange Commission (“SEC”) proposed a rule to enhance disclosure of company hedging policies for directors, officers and other employees. This proposal would implement Section 955 of...more

SEC Proposes Rules for Disclosure of Companies’ Hedging Policies

On February 9, as mandated by Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), the Securities and Exchange Commission proposed new rules requiring disclosure by US public...more

SEC Proposes New Rules on Hedging Disclosures

by Reed Smith on

On February 9, 2015, the Securities and Exchange Commission (the “SEC”) proposed rules that would require disclosure of policies permitting or prohibiting hedging by directors, officers and other employees to hedge or offset...more

SEC Proposes Rules for Hedging Disclosure

by Blank Rome LLP on

On February 9, 2015, the Securities and Exchange Commission, as required by Section 955 of the Dodd-Frank Act, issued proposed rules requiring enhanced proxy disclosure of a company’s hedging policies for its directors,...more

Does The SEC Have Hedging Backwards?

by Allen Matkins on

Last week, the Securities and Exchange Commission announced that it is proposing new rules requiring “disclosure about whether directors, officers and other employees are permitted to hedge or offset any decrease in the...more

SEC Proposes Rules for Hedging Policy Disclosure

by Bracewell LLP on

The Securities and Exchange Commission has proposed rules to implement the disclosure of hedging policies as required by Section 955 the Dodd-Frank Wall Street Reform and Consumer Protection Act. ...more

SEC Proposes Disclosure Rules on Hedging Policies

On Monday, the Securities and Exchange Commission (the “SEC”) proposed rules requiring disclosure of companies’ policies with respect to hedging transactions, in order to implement Section 955 of the Dodd-Frank Wall Street...more

SEC Proposes Hedging Policy Disclosure Requirement

by Morgan Lewis on

The SEC focuses on governance practices and policies viewed as relevant to employee/director equity owners’ and shareholders’ alignment of interests....more

Proposed Hedging Disclosures to Apply to EGCs

The SEC recently proposed amendments to require disclosure of whether employees and directors of public companies are permitted to hedge or offset any decrease in the market value of equity securities granted to them as part...more

SEC Proposes Rules for Hedging Disclosure; Staff to Review Rule 14a-8(i)(9)

by Cozen O'Connor on

SEC Proposes New Rules Regarding Disclosure of Hedging by Directors, Officers and Employees - On February 9, 2015, the Securities and Exchange Commission (SEC) proposed for comment new corporate disclosure rules...more

SEC Proposes Rules Requiring Hedging Disclosures

On February 9, 2015, pursuant to the mandate in Section 955 of the Dodd-Frank Act, the SEC proposed new rules that, if adopted, would require public companies to disclose in their proxy or information statements relating to...more

Financial Institutions Voice Concerns about CFPB Proposal to Publish Narrative Consumer Complaint Data

by Carlton Fields on

In our last issue, we discussed the Consumer Financial Protection Bureau (CFPB) proposal to publicly disclose consumer complaint details filed via its web-based public consumer complaint database by including an unstructured...more

Advertising Law - December 2014 #3

FCC Proposes Online Disclosures for Broadcast Contests - The Federal Communications Commission has proposed a rule change that would allow broadcast stations to disclose on the Internet the material terms for contests...more

BIA Proposes To Eliminate The Trust Land Acquisition Waiting Period

by Perkins Coie on

The Bureau of Indian Affairs (BIA) published a proposed rule in the Federal Register that, if adopted, will substantially alter the rights of those who would challenge a decision by the BIA to acquire land in trust for an...more

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