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Rulemaking Process Disclosure Requirements Compliance

Davis Wright Tremaine LLP

Writing on a New SLATE – DWT's FINRA Expertise

The SEC's Rule 10c-1a now mandates the reporting of securities loans, marking a significant regulatory shift. Potential challenges in implementing SLATE, including the need for possible adjustments to data dissemination...more

Perkins Coie

Corporate Transparency Act: Treasury Announces No Enforcement for Reporting Failures by U.S. Citizens and Domestic Reporting...

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Last week, we reported that the Financial Crimes Enforcement Network (FinCEN) reinstated the Corporate Transparency Act’s (CTA) beneficial ownership information (BOI) reporting requirements, with a new deadline for most...more

K&L Gates LLP

EDGAR Next: The Next Era in Filing

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Introduction - On 27 September 2024, the Securities and Exchange Commission (SEC) adopted “EDGAR Next,” a collection of rule and form amendments intended to improve access to, and management of, accounts on the SEC’s filing...more

Ropes & Gray LLP

Ropes & Gray’s Investment Management Update December 2024 – January 2025

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On February 7, 2025, the SEC issued an order postponing compliance requirements with Rule 13f-2 under the Securities Exchange Act and reporting requirements on Form SHO. As a result, initial Form SHO reports from...more

Snell & Wilmer

FTC Click to Cancel Rule

Snell & Wilmer on

In 2023, the U.S. Federal Trade Commission (FTC) sought public comments on how to combat perceived unfair and deceptive trade practices, recurring subscription charges, and cancelation of such plans. Born out of these...more

Seward & Kissel LLP

SEC Staff Issues New Names Rule FAQs

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Who may be interested: Registered Investment Companies; Compliance Officers - Quick Take: The staff of the Division of Investment Management (Staff) of the SEC recently issued responses to frequently asked questions (FAQs)...more

Husch Blackwell LLP

California’s Proposition 65 Short-Form Warnings Now in Effect

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California’s Office of Environmental Health Hazard Assessment (OEHHA) issued a notice of proposed amendments to Proposition 65 in October 2023 that significantly modify the information businesses are required to provide in...more

Proskauer - Government Contractor Compliance...

FAR Council Withdraws Proposed Contractor Pay Inquiry and Transparency Rule

Effective as of January 8, 2025, the FAR Council has withdrawn a proposed rule that would have limited federal contractors from seeking and considering information about job applicants’ compensation history and required...more

Sheppard Mullin Richter & Hampton LLP

Federal Court Denies Request to Delay CFPB’s Small Business Lending Rule as Compliance Deadlines Approach

On November 15, the U.S. District Court for the Southern District of Texas overseeing the ongoing legal challenge to the CFPB’s Section 1071 small business lending rule, issued an order denying the plaintiff trade groups’...more

Holtzman Vogel Baran Torchinsky & Josefiak

In Compliance: Holtzman Vogel's July 2024 Round-Up

Holtzman Vogel attorneys wrote on the Supreme Court's landmark Loper Bright decision earlier this month. The Court overruled its 1984 decision in Chevron v. NRDC that introduced the so-called "Chevron deference" principle...more

Holtzman Vogel Baran Torchinsky & Josefiak

In Compliance: Holtzman Vogel's February 2024 Round-up

The FCC issued a Declaratory Ruling on February 8 to ensure that telephone calls that use artificial intelligence (AI) to generate or mimic human voices are treated as “robocalls” for purposes of the Telephone Consumer...more

Keating Muething & Klekamp PLL

Securities Snapshot: 3rd Quarter 2023 - What You Need to Know About The SEC's Latest Rulemaking

The weather may be cooling down, but the Securities and Exchange Commission (“SEC”) did not cool down its pace of rulemaking during the third quarter of 2023. The SEC adopted its highly anticipated cybersecurity disclosure...more

Keating Muething & Klekamp PLL

Securities Snapshot: 1st Quarter 2023 - 2022 Final Rules Now in Effect: What You Need to Know

Securities and Exchange Commission rulemaking continued at a brisk pace in the first quarter of 2023 as the Commission implemented several significant reporting and compliance regulations adopted in 2022. Final rules and...more

Ankura

Data Deletion under CPRA and GDPR, And How to Operationalize a Deletion Program

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Authors: David Manek, Joe Shepley and Mark Melnychenko The California Privacy Rights Act (CPRA) which goes live January 1, 2023 introduces data retention and deletion requirements very similar to those that we see in the...more

Jones Day

SEC Enforcement in Financial Reporting and Disclosure: 2020 Mid-Year Update

Jones Day on

We are pleased to present our annual mid-year update on financial reporting and issuer disclosure enforcement activity for 2020. This White Paper focuses on the U.S. Securities and Exchange Commission's ("SEC") enforcement...more

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