21,175 results found

SEC amendments to the procedural requirements and resubmission thresholds of Exchange Act Rule 14a-8 ("Shareholder Proposals") were published in the Federal Register.

As we reported in a previous post (http://www.mofojumpstarter.com/2013/09/20/trace-dissemination-of-144a-data/), the SEC approved amendments to FINRA Rules 6750 and 7730, and TRACE dissemination procedures for Rule 144A trade data.

An SEC final rule to enable the use of electronic signatures in documents requiring signature authentication was published in the Federal Register.

The White House announced today that Elisse Walter will serve as SEC Chairman when Chairman Schapiro departs next month.

On December 8, 2016, the US Securities and Exchange Commission announced that Enforcement Director Andrew J. Ceresney will leave the agency by the end of the year.

Last year, the SEC's Division of Enforcement launched the "Municipalities Continuing Disclosure Initiative" offering "favorable settlement terms" to municipal issuers and underwriters who self-report continuing disclosure violations.

ESG Proposals Surge As SEC Raises Bar On No-Action Rules.

Happy summer... while you were away on holiday (still working through virtual time off), the regulators have been busy identifying Environmental Social and Governance (ESG) reporting standards...

On February 3, 2017, a guide was published by ESMA that looked at major holdings notifications under the Transparency Directive.

We have revised and republished a summary chart of exempt offering alternatives.

CFTC amendments to rules concerning chief compliance officer ("CCO") duties and certain annual report requirements were published in the Federal Register.

The SEC requested comments on a FINRA proposal to amend FINRA Rule 12504 of the Code of Arbitration Procedure for Customer Disputes...

FINRA notified member firms that the Securities Industry/Regulatory Council on continuing education released the Firm Element Advisory in a new online format.

An MSRB proposal amending interpretive guidance on certain disclosure obligations for municipal securities and municipal advisory activities was published in the Federal Register

An MSRB-proposed rule change to increase the professional fee for municipal advisors was published in the Federal Register.

SEC final amendments relating to liquidity disclosures and Form N-Port classification reporting for open-end funds were published in the Federal Register.

The SEC final amendments to Regulation S-K and related rules and forms were published in the Federal Register.

Revisions to the Electronic Data Gathering, Analysis and Retrieval System ("EDGAR") Filer Manual, and to the associated rule under Regulation S-T