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Searching Content indexed under Securities by Kramer Levin Naftalis & Frankel LLP ordered by Published Date Descending.
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1
OCIE Notifies Investment Advisers Of Principal And Agency Cross Trading Compliance Deficiencies
Failures by a number of investment advisers to comply with certain rules governing principal and agency cross trades has prompted the compliance inspections staff of the Securities...
United States
7 Oct 2019
2
SEC Eases Path For Exchange-Traded Fund (ETF) Launches
In an effort to modernize the regulation of ETFs, the U.S. Securities and Exchange Commission (the SEC) announced today its adoption of Rule 6c-11...
United States
4 Oct 2019
3
Avoiding Board Observer Liability Under Section 11 Of The Securities Act Of 1933
Lenders and other constituencies will under certain circumstances request and be granted "board observer" rights pursuant to a loan agreement or other contract.
United States
19 Sep 2019
4
Actualité juridique : juillet – août 2019
La loi n° 2018-727 du 10 juillet 2018 a prévu des ordonnances pour réformer le régime du taux effectif global, dont l'une pour les sanctions civiles.
United States
13 Sep 2019
5
Legal News - July-August 2019
Law No. 2018-727 of July 10, 2018 provided for ordinances to reform the system of the annual percentage rate, including one for civil penalties. These were indeed diverse in the event
United States
11 Sep 2019
6
SEC Filing Fee Rate Increase Effective Oct. 1, 2019
The new fee rate will take effect on Oct. 1, 2019, the first day of the U.S. government's 2020 fiscal year.
United States
9 Sep 2019
7
SEC Sues Investment Adviser For Nondisclosure Of Revenue Sharing Agreement Details
On Aug. 1, the Securities and Exchange Commission (the SEC) charged Commonwealth Equity Services LLC, dba Commonwealth Financial Network (Commonwealth).
United States
2 Sep 2019
8
OCIE Releases Risk Alert On Compliance Issues Related To Investment Advisers' Supervised Persons With Disciplinary History
On July 23, the SEC's Office of Compliance Inspections and Examinations (OCIE) released a risk alert.
United States
2 Sep 2019
9
SEC Division Of Corporate Finance Issues 9 Compliance And Disclosure Interpretations Regarding Inline XBRL Requirements
In March 2019, final rules amending Regulation S-K and related rules and forms were adopted. Included in these rules were requirements that registrants use Inline XBRL
United States
29 Aug 2019
10
SEC Brings Enforcement Action Against TherapeuticsMD For Violations Of Regulation FD
The SEC's order found that in 2017, TherapeuticsMD had in two instances made selective disclosures of material nonpublic information to research analysts.
United States
27 Aug 2019
11
SEC Provides Clarification On Investment Advisers' Proxy Voting Responsibilities And The Applicability Of Proxy Rules To Voting Advice
On Aug. 21, 2019, the Securities and Exchange Commission (the SEC) voted 3–2 to publish new guidance on the proxy voting responsibilities of investment advisers under
United States
27 Aug 2019
12
Simplifying Section 16
On March 20, 2019, the Securities and Exchange Commission issued a release[1] (the Release) adopting amendments to Regulation S-K in an effort to modernize and simplify disclosure requirements
United States
21 Aug 2019
13
SEC Proposes To Modernize Disclosures Of Business, Legal Proceedings And Risk Factors Under Regulation S-K
As reported in a press release issued by the Securities and Exchange Comission (the SEC) on Aug. 8, 2019, the SEC voted to propose amendments to modernize Regulation S-K disclosures.
United States
13 Aug 2019
14
Succursales non européennes d'entreprises européennes - Instructions ESMA pour les autorités compétentes
Instructions ESMA pour les autorités compétentes" which was published by the French publication Revue de droit bancaire et financier on June 18, 2019.
France
24 Jul 2019
15
SEC Issues Statement On LIBOR Transition
On July 12, the staffs of the Division of Corporation Finance, Division of Investment Management, Division of Trading and Markets, and Office of the Chief Accountant of the Securities and Exchange Commission issued a statement.
United States
22 Jul 2019
16
OCIE Warns That Investment Advisers And Broker-Dealers Are Putting Investor Information At Risk
The SEC's Office of Compliance Inspections and Examinations (OCIE) issued a risk alert warning that investment advisers and broker-dealers
United States
12 Jul 2019
17
SEC Concept Release Could Yield New Retail Product Opportunities For Private Fund Managers
On June 18, 2019, the SEC issued a concept release requesting comments on, among other things, whether to liberalize the definition of "Accredited Investor"
United States
11 Jul 2019
18
SEC Adopts ‘Loan Rule' Amendments
On June 18, 2019, the SEC adopted final amendments (the "Amendments") to the auditor independence rules set forth in Rule 2-01(c)(1)(ii)(A) of Regulation S-X (the "Loan Rule")
United States
4 Jul 2019
19
SEC Adopts Regulation Best Interest And Related Rules And Interpretations
On June 5, 2019, the SEC adopted a package of rules and interpretations (the Adopted Rules) to clarify and further articulate the relationship between retail investors and their broker-dealers or investment advisers.
United States
21 Jun 2019
20
SEC Proposes Revised Rules For Cross-Border Security-Based Swaps Transactions
The proposals are intended to improve the regulatory framework by addressing implementation issues and efficiency concerns of security-based swaps administered by the SEC
United States
18 Jun 2019
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