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Rulemaking Process Financial Regulatory Reform New Amendments

Proskauer Rose LLP

SEC and CFTC Extend Compliance Date for Form PF Amendments

Proskauer Rose LLP on

On January 29, 2025, the Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission (together, the “Agencies”) jointly announced that the compliance date for the new Form PF would be extended by three...more

Stinson - Corporate & Securities Law Blog

SEC Amends Accelerated Filer and Large Accelerated Filer Definitions

The SEC has adopted amendments to the accelerated filer and large accelerated filer definitions. The amendments exclude from the accelerated and large accelerated filer definitions an issuer that is eligible to be a smaller...more

Ballard Spahr LLP

Georgia and Colorado Address MLO Temporary Authority to Operate

Ballard Spahr LLP on

Following receipt and consideration of three written comments on proposed rules distributed on November 18, 2019, the Georgia Department of Banking and Finance adopted final rules on December 20, 2019, that establish...more

Carlton Fields

New Procedures for Mutual Fund and Insurance Product SEC Filings

Carlton Fields on

In Release No. 33-10618 (Mar. 20, 2019), the SEC adopted amendments (the “Amendments”) that consolidate, conform, and otherwise refine numerous requirements applicable to filings with the agency. ...more

Kramer Levin Naftalis & Frankel LLP

SEC Adopts Amendments to Implement Fast Act Disclosure Modernization and Simplification

On March 20, 2019, the Securities and Exchange Commission (the SEC) voted to adopt amendments to modernize and simplify disclosure requirements for public companies, investment advisers and investment companies. ...more

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