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Katten Muchin Rosenman LLP

FINRA Proposes and Seeks Comment on Simplified Rules for Outside Business Activities and Private Securities Transactions

Katten Muchin Rosenman LLP on

On Friday, March 14, in Regulatory Notice 25-05, the Financial Industry Regulatory Authority (FINRA) proposed a new rule to address when registered individuals engage in activities away from their member firms and when...more

Eversheds Sutherland (US) LLP

Videocast: Asset management regulation in 2020 videocast series – The annuity regulatory landscape

Eversheds Sutherland (US) LLP on

In this Bottom Line videocast, Dodie Kent and Clifford Kirsch discuss: The continued emergence of registered index linked annuity products. The NAIC’s amended Suitability Rule. The SEC’s variable product summary prospectus...more

Morgan Lewis

Singapore's Amended Listing Rules: Risk-Based Approach to Quarterly Reporting, Continuous Disclosures

Morgan Lewis on

With effect from February 7, the Mainboard Rules and Catalist Rules of the Singapore Exchange Securities Trading Limited will be revised to adopt a risk-based approach to quarterly reporting and to enhance the continuous...more

Cohen & Gresser LLP

The SEC Proposes Amendments to the Accredited Investor Definition

Cohen & Gresser LLP on

On December 18, 2019, the SEC proposed amendments to its definition of “accredited investor” to add new categories of qualifying natural persons and entities able to participate in certain exempt offerings without specific...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Rejects NYSE's Proposed Rules on Direct Listings

Skadden, Arps, Slate, Meagher & Flom LLP on

On November 26, 2019, the New York Stock Exchange (NYSE) filed a notice of proposed rule change with the Securities and Exchange Commission (SEC) that would have modified NYSE’s direct listing rules to (1) permit companies to...more

Orrick, Herrington & Sutcliffe LLP

SEC Proposes New Guidance on Role of Municipal Advisers in Private Placements

Orrick, Herrington & Sutcliffe LLP on

In response to the proliferation of direct placements of municipal securities with financial institutions over the past decade, the Securities and Exchange Commission (SEC) has proposed a regulatory change to clarify the role...more

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