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Searching Content indexed under Securities by Anna T. Pinedo ordered by Published Date Descending.
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1
The Role Of The Office Of The Chief Accountant And Office Priorities
At the AICPA conference we have previously blogged about, the Chief Accountant explained that the SEC's Office of the Chief Accountant ("OCA") is led by the Chief Accountant
United States
13 Dec 2019
2
Critical Audit Matters
At the recent 2019 AICPA Conference on Current SEC and PCAOB Developments, representatives of the SEC provided updates on a number of emerging issues
United States
12 Dec 2019
3
Chair Clayton Testifies In Congress
In his testimony today in Congress, Securities and Exchange Commission Chair Jay Clayton provided an update on the rulemaking work undertaken by the SEC ...
United States
12 Dec 2019
4
SEC Small Entity Compliance Guide On Testing The Waters
The SEC's amendment to the test-the-waters provisions, extending the ability to test-the-waters to issuers that are not emerging growth companies ("EGCs"), is now effective
United States
11 Dec 2019
5
SEC's DERA Inaugural Economic And Risk Outlook
The Securities and Exchange Commission's Division of Economic Risk Analysis (DERA) recently published the first Economic and Risk Outlook.
United States
10 Dec 2019
6
The ARRC Publishes Model Term Sheets For Three SOFR Floating Rate Notes Conventions
On November 21, 2019, the Alternative Reference Rates Committee (the "ARRC") published an appendix (the "Appendix") to the SOFR matrix of SOFR floating rate notes conventions (the "Matrix"),…
United States
9 Dec 2019
7
Clayton Questions Index Disclosures And LIBOR Replacement In One Speech
In remarks made to the SEC Fixed Income Market Structure Advisory Committee on November 4, 2019, SEC Chair Jay Clayton raised concerns for both the structured and rate notes communities.
United States
9 Dec 2019
8
Division Of Investment Management Calls For Clearer Risk Factor Disclosure About Indices With Emerging Markets Exposure
In a speech given on December 3, 2019, Ms. Dalia Blass, Director, Division of Investment Management ("DIM") of the Securities and Exchange Commission ("SEC"), ...
United States
9 Dec 2019
9
Report On 2019 SEC Government-Business Forum On Small Business Capital Formation Released
The Securities and Exchange Commission released the report from the August 2019 Government-Business Forum on Small Business Capital Formation.
United States
9 Dec 2019
10
Update On NAIC SVO Consultation On An Updated Definition Of Principal Protected Securities
As we have discussed in prior issues of our newsletter, the National Association of Insurance Commissioners' ("NAIC") Valuation of Securities Task Force is developing a definition ...
United States
9 Dec 2019
11
Lexis Practice Advisor Practice Note – Testing The Waters For All – New Rule 163B Expands TTW To All Issuers: First Analysis
In this Lexis Practice Advisor Practice Note, we discuss the new Rule 163B adopted by the US Securities and Exchange Commission (SEC).
United States
20 Nov 2019
12
United States
19 Nov 2019
13
Meeting Of The Small Business Capital Formation Advisory Committee
The Securities and Exchange Commission's Small Business Capital Formation Advisory Committee recently published the agenda for its upcoming November 12, 2019 meeting.
United States
18 Nov 2019
14
SEC Chair Clayton Comments On Rulemaking Agenda
Securities and Exchange Commission Chair Jay Clayton made remarks at the University of Pennsylvania, which covered a broad range of topics. Chair Clayton noted that under his tenure the SEC's Reg ...
United States
18 Nov 2019
15
SEC Security-Based Swaps Capital, Margin and Segregation Rules Become Effective
This legal update provides a general overview of selected aspects of the Final Rule.
United States
14 Nov 2019
16
Commission Requests Innovative Proposals to Address Thinly Traded Securities
The Securities and Exchange Commission issued a statement (see link) that seeks innovative proposals that would improve the secondary market structure...
United States
30 Oct 2019
17
SEC Adopts Security-Based Swaps Recordkeeping And Reporting Rules; Compliance Countdown Begins Soon
On September 19, the U.S. Securities and Exchange Commission took another significant step toward completing its requirements for the security-based swap and swap activities by finalizing its recordkeeping and reporting rules ...
United States
24 Oct 2019
18
SEC Enforcement Update
On September 6, 2019, Co-Director of Enforcement Steven Peikin of the SEC delivered a speech at the Securities Conference 2019. During this address, he discussed whether the SEC's Division
United States
18 Oct 2019
19
SEC Summarizes Regulation Best Interest And Form CRS Relationship Summary
If you were somewhat put off by the prospect of reading over 1,000 pages of adopting releases for Regulation Best Interest and the Form CRS relationship summary and amendments to Form ADV, you are now
United States
18 Oct 2019
20
FINRA Sanctions Representative And Member For Unsuitable Recommendation Of Financial Product
A general securities representative settled Financial Industry Regulatory Authority ("FINRA") charges for advising customers to purchase Leveraged and Inverse Exchange Traded Funds
United States
18 Oct 2019
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