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The Securities and Exchange Commission ("SEC") recently approved an amendment to a rule under Section 18 of the Securities Act of 1933 (the "Securities Act") that will designate securities listed on the Nasdaq Capital Market as "covered securities" for purposes of Section 18.

On 1 October 2010, the Chairman of the Capital Market and Financial Institution Supervisory Agency (Bapepam - LK) issued Rule IX.D.6 concerning the issuance of shares with differing nominal values (or otherwise known as par value).

On June 30, Governor Newsom signed into law AB 130, which includes a new provision to the California Civil Code, Section 2924.13. The new law (previously discussed here) became effective on July 1.

After the clinic referred the plaintiff's account to NBF for collection, NBF sent a letter to the clinic requesting that it verify the amount due.

An Oregon regulator entered a consent order with a Wisconsin debt collector after discovering the company operated without proper state registration while collecting from over 1,500 Oregon consumers. The case began with a single consumer complaint and resulted in allegations of 1,812 violations, demonstrating how state regulators pursue licensing enforcement and the importance of maintaining proper registrations across all operating jurisdictions.

With the debt markets tightening in response to rising interest rates and economic volatility, Ropes & Gray partners Michael Lee, David Hutchins, Patrick Dorime and I have examined how private equity...

The SEC recently solicited a second round of comments on the proposed new FINRA rule governing private placements.

Recently, in efforts to shore up so-called tangible common equity in response to the “stress tests” administered by the Federal Reserve and to pay back government infusions of capital under TARP as quickly as possible, many financial institutions have raised capital and reshuffled their capital structures.

Cooley's Market Talks virtual series cuts through the noise and drills down on what you need to know about the current market.

The Securities and Exchange Commission's Investor Advisory Committee will meet on September 21, 2023 and has announced its agenda for the meeting, which includes consideration...

The Securities and Exchange Commission has proposed amending Rule 163(c) under the Securities Act of 1933 to allow a well-known seasoned issuer ("WKSI") to authorize an underwriter or dealer to act as its agent or representative in communicating about offerings of the WKSI’s securities prior to the filing of a registration statement in a registered public offering.

Just in time for the holidays! On December 20, 2013, the staff of the Securities and Exchange Commission (the "SEC") released its Report on Review of Disclosure Requirements in Regulation S-K, as mandated by Section 108 of the Jumpstart Our Business Startups Act (the "JOBS Act").

On March 25, 2010, the Securities and Exchange Commission (the "SEC") announced that its staff is conducting a review of the use of derivatives by mutual funds, exchange-traded funds, and other investment companies (collectively, "funds").

The U.S. Court of Appeals for the Second Circuit has ruled that a debt collector did not violate the Fair Debt Collection Practices Act by sending the plaintiff a settlement offer that did not disclose ..

Twin rulings by the District Court for the Southern District of New York, the first of which was issued in December 2014 and the second issued on June 23rd of this year, have created great uncertainty in the bond market.

On February 24, 2010, the Security Exchange Commission ("Commission") issued a statement reaffirming its support of establishing a "single set of high-quality global accounting standards."

In early October 2008, Congress authorized $700 billion in government funds for the purchase of distressed assets from financial institutions through the Emergency Economic Stabilization Act of 2008.

Today the Federal Reserve Board issued instructions and guidelines for two 2013 stress testing and capital planning programs, each of which builds on similar programs from last year.