21,175 results found

SEC, NASAA, and FINRA Offer Free Resource to Securities Firms to Assist in Detection, Prevention and Reporting of Financial Exploitation of Seniors.

On March 11, 2015, the International Organization of Securities Commissions and Committee on Payments and Market Infrastructures jointly announced that they have begun a review of CCP stress testing.

Recently, Congressmen Scott Garrett, Kevin McCarthy and Patrick McHenry wrote to urge Chairman Schapiro to consider, in connection with the SEC’s Rule 506 rulemaking, the regulatory burden that may be imposed by a complex investor verification process and noted that lawmakers did not contemplate a burdensome verification process when the JOBS Act was being considered.

Arnold & Porter's Erik Walsh provides financial institutions key takeaways from the SEC's proposed climate risk disclosure rules and how those dovetail with the proposed principles on climate risk management announced by the OCC and FDIC.

The SEC recently adopted final rule amendments to Regulation D to add "bad boy" disqualifications for issuers, placement agents and others.

The SEC adopted rules establishing timely and accurate trade acknowledgment and verification requirements for security-based swap (SBS) market participants that enter into SBS transactions.

On April 13, the SEC adopted revisions to EDGAR Filer Manual and related rules to reflect updates to the EDGAR system.

In an Investor Alert, FINRA and the SEC Office of Investor Education and Advocacy cautioned investors on the risks associated with "social sentiment investing tools".

The SEC appointed Renee Jones as its Division of Corporation Finance Director and John Coates as its General Counsel.

The SEC approved a FINRA proposal requiring member firms to disclose the mark-up or mark-down on retail customer confirmations for most transactions in corporate and agency debt securities.

On February 26, the SEC Chair Mary Jo White hosted a meeting with European Union Financial Services Commissioner Jonathan Hill.

On June 18, 2019, the SEC issued a concept release requesting comments on, among other things, whether to liberalize the definition of "Accredited Investor"

In a recent speech, Dalia Blass, head of the SEC's Division of Investment Management, announced that the SEC is focused on expanding retail investor access to alternative fund managers.

On February 5, the SEC adopted amendments to the expiration dates in its interim final rules that provide exemptions under the securities laws for certain security-based swaps.

The SEC Division of Corporate Finance and Office of Mergers and Acquisitions granted no-action relief to a Maryland-based real estate investment trust (the "REIT") from Securities Exchange Act

Meeting this morning, the Securities and Exchange Commission formally proposed rules that would require private fund managers to...

The SEC named Erik Gerding as new Division of Corporation Finance Deputy Director of Legal and Regulatory Policy. Mr. Gerding will assume the role on October 4, 2021.

On August 8, the SEC announced that it has voted to propose rule amendments to modernize and simplify certain disclosures required pursuant to Regulation S-K since the regulation was first adopted over 30 years ago.