Searching Content indexed under Corporate/Commercial Law by Steven Lofchie ordered by Published Date Descending.
Links to Result pages
1 2 3 4 5 6 7 8 9 10 11 . . .  
Financial Services Subcommittee Examines Private Market Exemptions
At a House Financial Services Subcommittee hearing, representatives considered testimony on the impact of the growth of the private securities markets.
United States
20 Sep 2019
State Attorneys General Challenge SEC Regulation Best Interest
New York Attorney General Letitia James and several other state attorneys general (the "Plaintiffs") sued the SEC, alleging that Regulation "Best Interest" ("Reg. BI")
United States
13 Sep 2019
SEC Chair Jay Clayton Criticizes Foreign Counterparts For Lack Of Anti-Corruption Enforcement
SEC Chair Jay Clayton criticized his foreign counterparts for their lack of anti-corruption enforcement, arguing that only through a collaborative global strategy on fighting offshore bribery will such efforts be successful.
United States
12 Sep 2019
SEC Commissioners Raise Issues With Proposed Amendments To Reporting Regulations
SEC Commissioners Robert J. Jackson Jr. and Allison Herren Lee expressed concern over recently proposed amendments to reporting requirements ("Regulation S-K")
United States
30 Aug 2019
FINRA Charges Broker-Dealer For "Exorbitant And Arbitrary" Fees
In a disciplinary proceeding, FINRA charged a broker-dealer in connection with imposing "exorbitant and arbitrary" customer account fees.
United States
27 Aug 2019
Federal Register: SEC Adopts Swap Capital, Margin and Segregation Requirements
The SEC final rule to establish security-based swap capital, margin and segregation requirements was published in the Federal Register.
United States
27 Aug 2019
SEC Provides Proxy Voting Guidance, Clarifies Obligations of Advisers
In a three-to-two vote, the SEC approved (i) guidance on an investment adviser's responsibilities in proxy voting and in vetting any advice that the adviser may itself receive from a proxy advisor
United States
26 Aug 2019
Regulators Emphasize Importance Of Capital Investment
In a separate address at the Forum, Ms. Miller stressed the importance to the economy of capital formation and investment in new companies.
United States
22 Aug 2019
SEC Charges "Financial Guru" In ICO Fraud Scheme
The U.S. District Court for the Eastern District of New York froze the assets of a "self-described financial guru" charged with defrauding
United States
16 Aug 2019
SEC Commissioner Hester Peirce Champions "Marie Kondo" Approach to Regulation
SEC Commissioner Hester M. Peirce expressed support for SEC Chair Jay Clayton's initiative to review outdated regulations.
United States
13 Aug 2019
NASAA Urges Broker-Dealers To Update Policies On Non-Traditional ETFs
The North American Securities Administrators Association ("NASAA") advised broker-dealers to review sales practices for non-traditional exchange-traded funds ("ETFs"), warning that these products pose unique risks.
United States
6 Aug 2019
In Your Best Interest: New Cabinet Tools To Support Regulatory Compliance
Regulatory change increases overhead expenses for financial institutions. Regulation Best Interest ("Reg. BI") significantly expands the obligations that broker-dealers owe to retail investors.
United States
6 Aug 2019
SIFMA Weighs In On Massachusetts' Proposed Fiduciary Conduct Standard
In comments on the Massachusetts Securities Division (the "Division") proposed regulation to create fiduciary standards (the "Proposal")
United States
5 Aug 2019
SEC Chair Jay Clayton Encourages IAC To Foster More Competition
SEC Chair Jay Clayton encouraged the Investor Advisory Committee ("IAC") to consider approaches to regulation that foster competition
United States
5 Aug 2019
SEC Chief Economist Highlights Challenges Of Big Data
SEC Chief Economist and Director of the Division of Economic and Risk Analysis S.P. Kothari highlighted policy challenges of big data.
United States
5 Aug 2019
SEC Staff Says Tokens To Be Used For Video Games Are Not Securities
The SEC Division of Corporation Finance granted no-action relief to a tech company that has developed, and seeks to distribute, a blockchain-based token (the "Quarter") for use on online gaming platforms.
United States
1 Aug 2019
Financial Services Committee Chair Maxine Waters Asks Regulators To Delay Final Decision On Bank Merger Decision
House Financial Services Committee ("Committee") Chair Maxine Waters (D-CA) asked the Federal Reserve Board ("FRB") and the FDIC to delay final decisions on the proposed merger of SunTrust Banks, Inc.
United States
31 Jul 2019
Lawmakers Introduce Bill To Regulate Change In Control Transactions
Senators Elizabeth Warren, Tammy Baldwin and Sherrod Brown, and Representatives Mark Pocan and Pramila Jayapal introduced a bill to govern the private funds that engage in change in control transactions.
United States
29 Jul 2019
SIFMA Urges New Jersey To Pause Before Enacting "State-Specific" Reg. BI Standard
In testimony before the New Jersey Bureau of Securities (the "Bureau,") SIFMA Managing Director and Associate General Counsel Kevin Carroll
United States
26 Jul 2019
SEC Chair Jay Clayton Responds To Criticism Of Reg. Best Interest
SEC Chair Jay Clayton refuted criticism of the SEC's recently adopted rulemaking package designed to strengthen protections
United States
18 Jul 2019
Links to Result pages
1 2 3 4 5 6 7 8 9 10 11 . . .