With
Hashem Sabbagh
Social media continues to be a priority of the Financial Industry Regulatory Authority, Inc. ("FINRA"), and we can expect more guidance soon, according to a top official.
With
Hashem Sabbagh
On April 18, 2011, the Financial Industry Regulatory Authority, Inc. ("FINRA") filed a proposed rule change with the Securities and Exchange Commission ("SEC") which proposes to amend paragraphs (b) and (d)(4) of FINRA Rule 5131 (the "Amendment").
With
Nilene Evans,
David Lynn
With the last phase of implementation of interactive data rules fast approaching, the Director of the Division of Corporation Finance and the Chief Accountant of the U.S. Securities and Exchange Commission (the "SEC") have provided foreign private issuers that prepare their financial statements in accordance with International Financial Reporting Standards ("IFRS") as issued by the International Accounting Standards Board (the "IASB") with relief from having to submit interactive data files to t
The Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act") contains numerous mandates for rulemaking and studies by the Securities and Exchange Commission (the "SEC") and other governmental agencies.
With
Timothy Cleary,
David Kaufman
On February 24, 2010, the Securities and Exchange Commission announced that it adopted an alternative uptick rule as part of the SEC’s continuing efforts to increase regulatory oversight over short selling.
With
Anna Pinedo
Convertible debt and equity securities, such as preferred stock, convertible notes or debentures, and warrants, which we refer to collectively as "convertible securities," are financial instruments with embedded derivatives.
With
David Kaufman
On July 27, 2009, the Securities and Exchange Commission announced that it made Interim Temporary Rule 204T of Regulation SHO a permanent rule.
With
Anna Pinedo
The Securities and Exchange Commission (SEC) adopted a number of measures during the second half of 2008 that limited short selling, particularly the short selling of the stock of financial companies.
With
Amy Baumgardner
On January 14, 2009, Treasury released a standard form term sheet detailing the terms and conditions for its direct investment in banking institutions organized as subchapter S-corporations (S-Corps) pursuant to the Troubled Assets Relief Program (TARP) Capital Purchase Program (CaPP).
With
Amy Baumgardner,
Anna Pinedo
On November 17, 2008, Treasury released a standard form term sheet detailing the terms and conditions of the preferred stock and warrant offerings under the Troubled Assets Relief Program (TARP) Capital Purchase Program (CaPP) for private institutions.
