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Rulemaking Process Transparency Securities and Exchange Commission (SEC)

Proskauer Rose LLP

Eight Enforcement Trends That Likely Will End Under a Trump SEC

Proskauer Rose LLP on

The Voting Record and Public Statements of the Commissioners Provide a Roadmap - There has been much speculation on what SEC enforcement will look like under a new administration, especially now that President-elect Donald...more

Bracewell LLP

Update on Securities and Exchange Commission’s Landmark Proposed Climate- Change Disclosure Rulemaking

Bracewell LLP on

Things to Consider - Rulemaking - Coordinate closely with trades to ensure their comments reflect concrete information about impracticability and cost; these make a difference in the admin record upon judicial review...more

Foley Hoag LLP - Global Business and Human...

SEC Issues Controversial New Rule on Payment Transparency in the Natural Resource Sector

On December 16, 2020, the Securities and Exchange Commission issued a new regulation that revises and reinstitutes a previously-repealed SEC regulation to implement Section 1504 of the Dodd-Frank Act. The new rule is the...more

Troutman Pepper Locke

Investment Management Update - October 2019

Troutman Pepper Locke on

SEC Adopts ETF Rule - On September 25, 2019, the Securities and Exchange Commission (SEC) unanimously adopted Rule 6c-11 under the 1940 Act to modernize the regulation of exchange-traded funds by establishing a clear and...more

Cooley LLP

Blog: SEC launches Rulemaking Database

Cooley LLP on

The SEC has launched a new database, a Rulemaking Index, which collects on a single site information on rulemaking activity since 2008. The information is grouped together by file number, so that you can see the proposals,...more

Goodwin

Financial Services Weekly News Roundup - December 2014 #2

Goodwin on

Editor’s Note - Spotlight on FINRA Retrospective Rule Review: On December 9, FINRA announced it had issued reports on its retrospective review of two groups of rules – a report on the rules on communications with the...more

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