21,175 results found

The SEC published in the Federal Register a proposal.

An SEC proposal to expand the electronic filing requirements under the EDGAR system was published in the Federal Register.

The comment deadline for the proposal is June 7, 2021.

On September 18, 2018, Shearman & Sterling submitted a comment letter on the SEC's proposed revisions to the financial disclosure requirements for registered debt securities ...

Congressman Himes (CT) and eight other members of Congress wrote to FINRA and to the Securities and Exchange Commission questioning the typical 7% gross spread in U.S. IPOs.

This newsletter provides a snapshot of the principal U.S. and selected international governance and securities law developments

On November 18, Judge Denise Cote of the United States District Court for the Southern District of New York granted the Federal Housing Finance Agency's motion for partial summary judgment on the statute of limitations defense asserted by Nomura and related entities.

On Halloween eve, three years after authorization by the JOBS Act, the SEC finally adopted rules permitting small ventures and business startups to raise up to $1 million over a 12-month period by selling shares...

Paulita Pike, Ropes & Gray investment management partner, addresses privacy and cybersecurity challenges facing the investment management industry.

An SEC and CFTC joint request for comments on possible methods for implementing the portfolio margining of SEC- and CFTC-regulated products was published in the Federal Register.

CFPB finalizes LIBOR transition rule. SEC issues statement on LIBOR transition - key considerations. FinCEN issues hotly anticipated beneficial ownership reporting requirements.

The SEC has posted the webcasts from its decimalization roundtable.

Title I of the JOBS Act mandated that a study be conducted on the impact of decimalization.

In the most recently issued set of FAQs on the JOBS Act, the SEC Staff also addressed testing-the-waters communications, and, in particular, the requirements of Rule 15c2-8(e).

The SEC Division of Corporation Finance agreed that common stock issued by a mutual water company organized pursuant to the California General Corporation Law is not a "security" for purposes of the Securities Act.

A stockholder that had held for a specified period (say, three years) would be entitled to receive a warrant to receive additional shares of the public company's stock.

In a new study, the Depository Trust & Clearing Corporation ("DTCC") concluded that a distributed ledger platform has the capacity to support average daily trading volumes ...

Partner Jay Baris (New York- Investment Funds) authored the article "E-Delivery Is Coming. Directors Should Prepare" in BoardIQ