News & Analysis as of

Registration Banks

Blake, Cassels & Graydon LLP

How the Revised Draft Capital Markets Act Affects Registrants, Other Market Participants

The comment period on the recently published revised consultation draft of the uniform provincial and territorial Capital Markets Act (CMA) and draft initial regulations under the CMA (Initial Regulations and, together with...more

McAfee & Taft

New ‘.bank’ domain available in mid-2015

McAfee & Taft on

New opportunities for the banking community are coming this year. In the fall of 2014, the Internet Corporation for Assigned Names and Numbers (ICANN), the entity responsible for coordinating internet domain names, granted...more

Morrison & Foerster LLP

SEC Proposes Amendments to Registration Requirements

In December 2014, the SEC proposed amendments to revise the rules related to the thresholds for registration, termination of registration, and suspension of reporting under Section 12(g) of the Exchange Act. These proposals...more

Mintz - Securities & Capital Markets...

SEC Proposes Changes to Exchange Act Rules to Implement Title V and Title VI of the JOBS Act

The SEC recently proposed rule amendments as part of its implementation of Title V and Title VI of the JOBS Act. These proposed amendments reflect the increased registration, termination of registration and suspension of...more

Proskauer Rose LLP

Broker-Dealer Beat - October 2014: Supervising Registered Employees of Foreign Affiliates

Proskauer Rose LLP on

Supervising Registered Employees of Foreign Affiliates - NASD Rules 1021(a) and 1031(a) permit a FINRA member to register or maintain the registration as principal or representative of an individual who is engaged in...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume IX, Issue 6

In this issue: - SEC Division of Corporation Finance Issues Guidance on Rule 506(c) Private Placements - SEC Issues No-action Relief Regarding Registration of M&A Brokers - CFTC Issues Guidance on New...more

Goodwin

House Passes Bill to Increase Shareholder Count Thresholds Triggering Securities Exchange Act Registration/Deregistration...

Goodwin on

On January 14, 2014, the House of Representatives passed H.R. 801, the Holding Company Registration Threshold Equalization Act of 2013 (the “Act”), which would increase the number of shareholders that trigger registration and...more

Perkins Coie

Financial Services Bulletin: Action At Federal Agencies

Perkins Coie on

SEC Proposes Crowdfunding Rules - On Wednesday, October 23, 2013, the Securities and Exchange Commission (the "SEC") voted unanimously to propose rules to permit companies to offer and sell securities through...more

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