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  • Article

    SEC Names New Chief Of Staff

    The SEC named Lucas Moskowitz as Chief of Staff. Mr. Moskowitz served previously as Chief Investigative Counsel of the U.S. Senate Committee on Banking, Housing and Urban Affairs.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Names Office Of Analytics And Research Associate Director

    The SEC named David H. Saltiel, Associate Director of the Office of Analytics and Research in the Division of Trading and Markets.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
Article

SEC Permits Brazilian Company To Conform Audit Committees To Home Country Law

SEC Permits Brazilian Company To Conform Audit Committees To Home Country Law.
United StatesCorporate/Commercial Law
Hogan Lovells Cadwalader
Hogan Lovells Cadwalader
  • Article

    SEC Proposes Amendments To Require Hyperlinks To Exhibits In Filings

    On August 31, 2016, the Securities and Exchange Commission proposed amendments that would require hyperlinks to exhibits in specified types of filings with the Securities and Exchange Commission.
    United StatesCorporate/Commercial Law
    Orrick
    Orrick
  • Article

    SEC Proposes Expanding Certain Disclosure Requirements For Municipal Security Issuers

    The SEC voted to propose amending SEA Rule 15c2-12 to require disclosure by issuers of municipal securities of two additional types of event notices to the MSRB following primary offerings
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Proposes Rules On Crowdfunding

    On October 24, the Securities and Exchange Commission voted unanimously to propose rules under the JOBS Act to permit companies to offer and sell securities through crowdfunding
    United StatesCorporate/Commercial Law
    Orrick
    Orrick
  • Article

    SEC Proposes Rules To Enhance Order Handling Information Available To Investors

    After the proposed rules are published in the Federal Register, the comment period will be open for 60 days.
    United StatesCorporate/Commercial Law
    Orrick
    Orrick
  • Article

    SEC Proposes Rules To Require Disclosure Regarding The Relationship Between Executive Pay And Company Financial Performance

    On April 29, the Securities and Exchange Commission published proposed rules that would require companies to disclose the relationship between executive compensation and the financial performance of the company...
    United StatesCorporate/Commercial Law
    Orrick
    Orrick
  • Article

    SEC Provides Guidance On Mutual Fund Prospectus Delivery Obligations

    In a guidance letter to certain parties, the SEC Division of Corporation Finance clarified that a broker-dealer may satisfy its prospectus delivery obligation,
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Recommences Normal Operations

    SEC Chair Jay Clayton announced that the agency is back to normal staffing and operations.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Removes Personally Identifiable Information Requirement From Municipal Advisor Registration Forms

    The SEC removed certain personally identifiable financial information from its Municipal Advisor Registration Forms.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Seeks Comment On Consolidated Audit Trail Proposal

    The SEC is seeking public comment on a proposed national market system (NMS) plan to create a single, comprehensive database enabling regulators to efficiently track all trading activity...
    United StatesCorporate/Commercial Law
    Herbert Smith Freehills Kramer LLP
    Herbert Smith Freehills Kramer LLP
  • Article

    SEC Seeks Public Comment On Disclosure Requirements Relating To Management, Security Holders And Corporate Governance Matters

    On August 25, 2016, the SEC requested "public comment on disclosure requirements in Subpart 400 of Regulation S-K, including those relating to management, certain security holders, and corporate governance matters."
    United StatesCorporate/Commercial Law
    Orrick
    Orrick
  • Article

    SEC Senior Policy Advisor On CAT Steps Down

    Manisha Kimmel, SEC Senior Policy Advisor to the Chair on the Consolidated Audit Trail ("CAT"), will step down at the end of January 2021.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Sets Registration Fee Rate For Fiscal Year 2022 - August 23, 2021

    The SEC adjusted the securities registration fee rate for public companies and other issuers.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Solicits Public Comment On Business And Financial Disclosure Requirements In Regulation S-K

    On April 15, 2016, the Securities and Exchange Commission began seeking comment on specific disclosure requirements in Regulation S-K. Release.
    United StatesCorporate/Commercial Law
    Orrick
    Orrick
  • Article

    SEC To Examine Companies Switching Business Models To Capitalize On Blockchain Popularity

    SEC chairman Jay Clayton said the agency is closely scrutinizing companies that have switched their names and business models to take advantage of increased interest in cryptocurrencies...
    United StatesCorporate/Commercial Law
    Herbert Smith Freehills Kramer LLP
    Herbert Smith Freehills Kramer LLP
  • Article

    SEC To Make Inflation Adjustments To Net Worth Thresholds For Qualified Clients (Fed. Reg.)

    The order would not increase the minimum dollar amount of assets under management requirement.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Updates Q&A On Non-GAAP Financial Measures

    The SEC updated its questions and answers on the General Applicability of non-GAAP financial measures.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    Startup 101: Look Before You Leap Into Crowdfunding

    Matthew R. Kittay is featured in the Flying Kite article, "Startup 101: Look Before You Leap Into Crowdfunding."
    United StatesCorporate/Commercial Law
    Fox Rothschild LLP
    Fox Rothschild LLP
  • Showing 81–100 of 21175 results

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