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Searching Content indexed under Corporate/Commercial Law by Anna T. Pinedo ordered by Published Date Descending.
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1
Insights From Chair Clayton On SEC Priorities
At the Economic Club of New York, in keynote remarks, Chair Clayton reviewed the Securities and Exchange Commission's recent initiatives.
United States
13 Sep 2019
2
Business Development Company Guide For Capital Markets
In this Lexis Practice Advisor® Practice Note, we provide answers to questions frequently asked by securities lawyers and their clients regarding the federal securities laws
United States
10 Sep 2019
3
FINRA Seeks Comment On Senior Protection Rules
On August 9, 2019, FINRA issued Regulatory Notice 19-27 requesting comments on its rules and administrative processes that most directly apply to financial exploitation of senior investors.
United States
2 Sep 2019
4
Update On Proposed NAIC Amendments Affecting Insurance Company Buyers Of Structured Notes
As we reported in the prior issue, the National Association of Insurance Commissioners Valuation of Securities Task Force would be considering the recommendation from the Director of the NAIC Securities Valuation Office.
United States
2 Sep 2019
5
FINRA Reminds Firms To Engage With The SEC On Regulation Best Interest
On August 7, 2019, FINRA issued Regulatory Notice 19-26, which reminded member firms that Regulation Best Interest and the related Form CRS relationship summary were each adopted by the SEC on June 5, 2019.
United States
2 Sep 2019
6
Volcker Rule Revisions Adopted By Agencies
The Federal Deposit Insurance Corporation ("FDIC"), Office of the Comptroller of the Currency ("OCC"), Board of Governors of the Federal Reserve System ("Federal Reserve"),
United States
2 Sep 2019
7
FIMSAC Approves Recommendation For Investor Education Regarding Retail Notes
In a meeting held on July 29, 2019, the SEC's Fixed Income Market Structure Advisory Committee ("FIMSAC") unanimously approved its Corporate Bond Transparency Subcommittee's
United States
2 Sep 2019
8
Annual Review Of Federal Securities Regulation
The Annual Review of Federal Securities Regulation, prepared by the Subcommittee on Annual Review of the Committee on Federal Regulation of Securities of the ABA Business Law Section
United States
30 Aug 2019
9
SEC's Proposed Expansion Of Testing-The-Waters Communications: First Analysis
In this Lexis Practice Advisor® Practice Note, we discuss the Securities and Exchange Commission's (SEC) proposed rule that would expand the permitted
United States
30 Aug 2019
10
SEC Guidance Issued On Proxy Matters
At an open meeting today, the Securities and Exchange Commission issued guidance to assist investment advisers in fulfilling their proxy voting responsibilities
United States
23 Aug 2019
11
SEC Proposed Changes To Accelerated And Large Accelerated Filer Definitions
In this Lexis Practice Advisor® Practice Note, we discuss the proposed amendments issued by the Securities and Exchange Commission
United States
22 Aug 2019
12
General Solicitation And General Advertising
Rule 502(c) ("Rule 502(c)") of the Securities Act of 1933, as amended (the "Securities Act"), prohibits an issuer from offering or selling securities by any form of general solicitation or general advertising when conducting certain
United States
20 Aug 2019
13
SEC Open Meeting On Proxy Related Matters
The Securities and Exchange Commission announced an open meeting for August 21st in order to consider:
United States
16 Aug 2019
14
Nasdaq Rule Changes To Initial Listing Standards Related To Liquidity Effective
Earlier this spring, the Nasdaq Stock Exchange (the "Nasdaq") filed a proposed amendment (the "Amendment") of its initial listing standards
United States
13 Aug 2019
15
Regulation S-K Amendments Proposed
Despite the cancellation of the open meeting, the Securities and Exchange Commission proceeded to vote to propose amendments to certain Regulation S-K disclosure requirements.
United States
12 Aug 2019
16
Open Meeting Cancelled
The open meeting has been cancelled.
United States
9 Aug 2019
17
Regulation S-K Business And Risk Factor Changes?
The Securities and Exchange Commission announced an open meeting for August 8th to consider whether to propose rule amendments to modernize the description of business, legal proceedings, and risk factor disclosures ...
United States
6 Aug 2019
18
Clayton Comes Out Swinging Against Critics Of Regulation Best Interest
In a speech on July 8, 2019, SEC Chair Jay Clayton responded to criticism of Regulation Best Interest, setting out his arguments in a concise, step-by-step rebuttal.
United States
6 Aug 2019
19
Insurance Company Buyers Of Structured Notes Should Consider Proposed NAIC Amendments
The NAIC Valuation of Securities (E) Task Force will have its first opportunity to consider the SVO's recommendation at its meeting on August 4, 2019.
United States
6 Aug 2019
20
Reminder: The EU Prospectus Regulation Is Effective – Key Legal Facts
The minimum content requirements for issuer and securities disclosures remain essentially unchanged.
European Union
6 Aug 2019
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