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  • Article

    Recommended Reading, Corporate Governance, Shareholder Activism, Executive Compensation

    This week, we highlight a recent Equilar report on "Director Stock Ownership Guidelines."
    United StatesCorporate/Commercial Law
    Akin
    Akin
  • Article

    Rule 506(c) And The Future Of Private Placement Practices

    As the securities bar carefully parses the language of the July 10 U.S. Securities and Exchange Commission release implementing new Rule 506(c), which removes the bar on general solicitation and advertising in private placements, the implications of the new rule and the fundamental changes to long-standing practices that it will cause are coming into better focus.
    United StatesCorporate/Commercial Law
    Kilpatrick Townsend & Stockton LLP
Kilpatrick Townsend & Stockton LLP
  • Article

    Rule Proposed To Expedite Settling Securities Transactions

    The SEC proposed to shorten the standard settlement cycle for most broker-dealer securities transactions from three business days after the trade date (T+3) to two business days after the trade date (T+2).
    United StatesCorporate/Commercial Law
    Herbert Smith Freehills Kramer LLP
    Herbert Smith Freehills Kramer LLP
  • Article

    SEC Adopts Amendment To Form 10-K Implementing FAST Act Provision

    Importantly, however, companies opting to provide the summary must include hyperlinks to the related, more detailed disclosure in the Form 10-K.
    United StatesCorporate/Commercial Law
    Sullivan & Worcester
    Sullivan & Worcester
  • Article

    SEC Adopts Amendments To Rules Of Practice For Administrative Proceedings

    On July 13, 2016, the Securities and Exchange Commission adopted amendments to the rules governing administrative proceedings before it.
    United StatesCorporate/Commercial Law
    Orrick
    Orrick
  • Article

    SEC Adopts Final Rule Regarding Appointment And Removal Of PCAOB Hearing Officers

    The SEC adopted a rule expressly mandating that the appointment or removal of a Public Company Accounting Oversight Board ("PCAOB") ...
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Adopts Rule On Disclosure Of Payments By Resource Extraction Issuers

    The rules are intended to promote greater transparency regarding payments related to resource extraction.
    United StatesCorporate/Commercial Law
    Orrick
    Orrick
  • Article

    SEC Adopts Rules To Enhance Information Reported By Investment Advisers

    On August 25, 2016, the Securities and Exchange Commission adopted amendments to rules and forms designed to improve disclosures provided by investment advisers to investors and the Securities and Exchange Commission.
    United StatesCorporate/Commercial Law
    Orrick
    Orrick
  • Article

    SEC Adopts Rules To Implement FAST Act Mandate

    On March 20, the Securities and Exchange Commission (SEC) voted to adopt amendments to eliminate outdated and unnecessary disclosure.
    United StatesCorporate/Commercial Law
    Orrick
    Orrick
  • Article

    SEC Adopts Updated EDGAR Filer Manual - September 21, 2015

    On September 15, the Securities and Exchange Commission adopted revisions to the EDGAR Filer Manual to add two new Security-based Swap Data Repository submission form types...
    United StatesCorporate/Commercial Law
    Orrick
    Orrick
  • Article

    SEC Advisory Committee To Examine Secondary Market Liquidity, Diversity And Capital Raising

    The SEC Advisory Committee on Small and Emerging Companies will meet to examine secondary market liquidity for Regulation A companies and unlisted reporting companies.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Announces 2015 Examination Priorities With Emphasis On Cybersecurity Practices

    On January 13, 2015, the Securities and Exchange Commission ("SEC") Office of Compliance Inspections and Examinations ("OCIE") announced its examination priorities.
    United StatesCorporate/Commercial Law
    Jones Day
    Jones Day
  • Article

    SEC Answers Questions On The "Escheatment Process"

    In an Investor Bulletin, the SEC provided information as to the escheatment process (i.e., the process of "turning custody ...
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Awards $7 Million To Whistleblowers

    The SEC awarded a total of more than $7 million to three whistleblowers who assisted the commission in prosecuting an investment scheme.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Awards Nearly $4 Million To Overseas Whistleblower

    The SEC awarded approximately $4 million to an overseas whistleblower whose tip led to a successful enforcement action.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Case Pushes EB-5 Focus To Oversight, Compliance

    Roy J. Carrasquillo and Scott E. Bettridge were featured in the <em>Daily Business Review</em> article, "SEC Case Pushes EB-5 Focus to Oversight, Compliance."
    United StatesCorporate/Commercial Law
    Fox Rothschild LLP
    Fox Rothschild LLP
  • Article

    SEC Chief Economist To Leave By Year-End

    Chief Economist and Division of Economic and Risk Analysis ("DERA") Director Mark J. Flannery will leave the agency by the end of December 2016.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Commissioner Elad Roisman Urges More Transparency in Fixed Income Markets

    In remarks at the 2019 Fixed Income Market Structure Advisory Committee Meeting, SEC Commissioner Elad Roisman underscored the importance of increasing
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Decreases Filing Fees

    The SEC announced that, effective 1 October 2015, the fees that public companies and other issuers pay to register their securities with the SEC will be set at $100.70 per million dollars of securities registered.
    United StatesCorporate/Commercial Law
    A&O Shearman
    A&O Shearman
  • Article

    SEC Division Grants Multinational Insurance Company No-Action Relief From "Ineligible Issuer" Status

    The SEC Division of Corporation Finance granted no-action relief to a British multinational insurance company from being considered an "ineligible issuer" under Rule 405 of the Securities Act.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
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