ArticleRecommended Reading, Corporate Governance, Shareholder Activism, Executive CompensationThis week, we highlight a recent Equilar report on "Director Stock Ownership Guidelines." United StatesCorporate/Commercial LawAkin
ArticleRule 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
ArticleRule Proposed To Expedite Settling Securities TransactionsThe 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 LawHerbert Smith Freehills Kramer LLP
ArticleSEC Adopts Amendment To Form 10-K Implementing FAST Act ProvisionImportantly, however, companies opting to provide the summary must include hyperlinks to the related, more detailed disclosure in the Form 10-K. United StatesCorporate/Commercial LawSullivan & Worcester
ArticleSEC Adopts Amendments To Rules Of Practice For Administrative ProceedingsOn July 13, 2016, the Securities and Exchange Commission adopted amendments to the rules governing administrative proceedings before it.United StatesCorporate/Commercial LawOrrick
ArticleSEC Adopts Final Rule Regarding Appointment And Removal Of PCAOB Hearing OfficersThe SEC adopted a rule expressly mandating that the appointment or removal of a Public Company Accounting Oversight Board ("PCAOB") ...United StatesCorporate/Commercial LawHogan Lovells Cadwalader
ArticleSEC Adopts Rule On Disclosure Of Payments By Resource Extraction IssuersThe rules are intended to promote greater transparency regarding payments related to resource extraction. United StatesCorporate/Commercial LawOrrick
ArticleSEC Adopts Rules To Enhance Information Reported By Investment AdvisersOn 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 LawOrrick
ArticleSEC Adopts Rules To Implement FAST Act MandateOn March 20, the Securities and Exchange Commission (SEC) voted to adopt amendments to eliminate outdated and unnecessary disclosure. United StatesCorporate/Commercial LawOrrick
ArticleSEC Adopts Updated EDGAR Filer Manual - September 21, 2015On 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 LawOrrick
ArticleSEC Advisory Committee To Examine Secondary Market Liquidity, Diversity And Capital RaisingThe 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 LawHogan Lovells Cadwalader
ArticleSEC Announces 2015 Examination Priorities With Emphasis On Cybersecurity PracticesOn January 13, 2015, the Securities and Exchange Commission ("SEC") Office of Compliance Inspections and Examinations ("OCIE") announced its examination priorities.United StatesCorporate/Commercial LawJones Day
ArticleSEC 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 LawHogan Lovells Cadwalader
ArticleSEC Awards $7 Million To WhistleblowersThe SEC awarded a total of more than $7 million to three whistleblowers who assisted the commission in prosecuting an investment scheme.United StatesCorporate/Commercial LawHogan Lovells Cadwalader
ArticleSEC Awards Nearly $4 Million To Overseas WhistleblowerThe SEC awarded approximately $4 million to an overseas whistleblower whose tip led to a successful enforcement action.United StatesCorporate/Commercial LawHogan Lovells Cadwalader
ArticleSEC Case Pushes EB-5 Focus To Oversight, ComplianceRoy 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 LawFox Rothschild LLP
ArticleSEC Chief Economist To Leave By Year-EndChief 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 LawHogan Lovells Cadwalader
ArticleSEC Commissioner Elad Roisman Urges More Transparency in Fixed Income MarketsIn remarks at the 2019 Fixed Income Market Structure Advisory Committee Meeting, SEC Commissioner Elad Roisman underscored the importance of increasing United StatesCorporate/Commercial LawHogan Lovells Cadwalader
ArticleSEC Decreases Filing FeesThe 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 LawA&O Shearman
ArticleSEC Division Grants Multinational Insurance Company No-Action Relief From "Ineligible Issuer" StatusThe 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 LawHogan Lovells Cadwalader