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  • Article

    SEC Proposes Amendment To Require Inline XBRL Filing Of Tagged Data

    The SEC proposed an amendment that would require submissions by public companies of their financial statements and mutual funds of their risk/return summaries to use the Inline eXtensible Business...
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Provides Guidance On Programming Changes To The EDGAR System

    The SEC Division of Corporation Finance provided guidance to issuers of ABS regarding certain programming changes to the EDGAR system that have been made to support recently adopted revisions...
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Provides Interpretive Guidance On IPO Procedures

    The SEC Division of Corporation Finance provided interpretive guidance that confirmed that a registered broker-dealer and investment adviser's proposed procedures...
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Reduces Whistleblower Award Due To Delayed Reporting

    The SEC reduced a whistleblower award after discovering that the whistleblower financially benefited from waiting to report the misconduct.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Releases International Financial Reporting Standards Taxonomy

    The SEC announced that the International Financial Reporting Standards Taxonomy is now available on the agency website.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Renews Equity Market Structure Advisory Committee

    The SEC renewed the Equity Market Structure Advisory Committee (the "Committee") for a period of five months.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Requests Comment On FINRA's Proposal To Extend Tier Size Pilot (Fed. Reg.)

    The SEC solicited comments on FINRA's proposed amendment to Rule 6433. The amendment would extend the effective date of the Tier Size Pilot until December 9, 2016.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Revises Procedures For Document Submission To EDGAR

    The SEC revised the procedures for submitting documents to the EDGAR system.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Sets Fee Rates Applicable To Securities Transactions For 2019

    The SEC established the fee rates applicable to securities transactions. The new fee rate will be $20.70 per million dollars.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Sets Meeting Agenda For Advisory Committee On Small And Emerging Companies

    The meeting will be held on July 19, 2016 at 9:30 a.m. and will be broadcast live on the SEC's website.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Sets Registration Fee Rate For Fiscal Year 2019

    The SEC set the fee that public companies and other issuers must pay to register their securities with the agency for FY 2019 at $121.20 per million dollars.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Sets Registration Fee Rate For Fiscal Year 2020

    The SEC adjusted the securities registration fee rate for public companies and other issuers. The FY 2020 rate was set at $129.80 per million.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Tables Proposed Exemption For Expert Market

    The SEC Division of Trading and Markets staff stated that as of September 28, 2021, "broker-dealers will no longer be able to publish proprietary quotations for the securities of any issuer for which there is no current and publicly available information."
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC To Approve Non-Transparent ETF Proposal

    The SEC plans to approve Precidian Investments' non-transparent exchange-traded fund ("ETF") application.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC To Host Public Forum On FinTech Innovation

    The SEC noted that further information on the forum agenda and participants will be published in the coming weeks.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC to Reconsider Decision Approving Quadruple-Leveraged ETFs

    According to a Wall Street Journal report, the SEC may reevaluate a decision by the Division of Markets and Trading to approve a proposed rule change that permits the listing and trading of...
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Uses Satellite Imagery To Catch Issuer Fraud

    Desarrolladora Homex S.A.B. de C.V. settled SEC charges that the Mexico-based homebuilding company defrauded investors by falsely inflating the number of homes sold and overstating revenue...
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Waives "Bad Actor" Disqualification For Broker-Dealer

    The Chief Executive Officer also agreed to a temporary suspension.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Waives "Bad Actor" Disqualification For Dually Registered Investment Adviser And Broker-Dealer

    The SEC Division of Corporation Finance granted relief to Citigroup Global Markets Inc. ("CGMI") from any disqualification under Rule 506 of Regulation D regarding a January 26, 2017 Order that found CGMI to have overbilled clients.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    Senate Confirms Jay Clayton As SEC Chair

    The Senate confirmed President Trump's nomination of Walter J. "Jay" Clayton III as Chair of the SEC.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader

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