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Searching Content indexed under Corporate and Company Law by Steven Lofchie ordered by Published Date Descending.
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1
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SEC Commissioner Hester M. Peirce expressed support for SEC Chair Jay Clayton's initiative to review outdated regulations.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
2
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
3
SEC Chair Jay Clayton Questions Short-Term Views In Management Of Public Companies
SEC Chair Jay Clayton directed staff to consider the causes of "short-termism," including the current disclosure regime, and how to encourage U.S. companies to take a long-term perspective.
United States
5 Jun 2019
4
Senator Warren Introduces Bill To Require That Large Companies Create A General Public Benefit
Senator Elizabeth E. Warren (D-MA) introduced a bill intended to get rid of "skewed market incentives" and force corporations to be more accountable to employees and other stakeholders.
United States
30 Aug 2018
5
Choose One: Best Interest Or Full Service
On April 18, the SEC approved the publication of three releases proposing new regulatory requirements that are intended to expand and clarify the duties that broker-dealers and investment advisers...
United States
3 May 2018
6
Senate Confirms Two SEC Nominees
The full Senate confirmed Democrat Robert Jackson and Republican Hester Peirce as SEC Commissioners.
United States
3 Jan 2018
7
SEC Committee On Small And Emerging Companies Makes Final Recommendations
The SEC Advisory Committee on Small and Emerging Companies (the "Committee") met to review the Final Report of the Committee.
United States
21 Sep 2017
8
SEC Provides Interpretive Guidance On IPO Procedures
The SEC Division of Corporation Finance provided interpretive guidance that confirmed that a registered broker-dealer and investment adviser's proposed procedures...
United States
2 Dec 2016
9
Investor Advocate Rick Fleming Describes Progress On SEC Disclosure Effectiveness Initiative
SEC Investor Advocate Rick Fleming described continuing progress on the SEC Disclosure Effectiveness Initiative, an effort intended to review and modernize public company reporting requirements...
United States
28 Nov 2016
10
SEC Approves Enhanced Disclosures For Retail Investors In Fixed-Income Securities
The SEC approved MSRB and FINRA proposals to require securities dealers to disclose the compensation received in transactions with retail investors.
United States
24 Nov 2016
11
The Trump Administration: Change By Appointment
Many experts are engaged in educated speculation about the regulatory priorities of the now-forming Trump Administration.
United States
23 Nov 2016
12
CFTC Proposes Consent Order To Resolve Price Manipulation And Spoofing Case
The CFTC submitted a proposed Consent Order to the U.S. District Court for the Northern District of Illinois that would resolve a civil enforcement action against Navinder Singh Sarao.
United States
16 Nov 2016
13
Reg. Tracker: November 1 Through November 15
The Cabinet Regulatory Tracker provides a list of significant upcoming comment deadlines, effective dates and compliance deadlines.
United States
10 Nov 2016
14
ISDA Analyzes Key Trends In Clearing
In its latest Research Note, ISDA examined recent trends in the clearing business in the United States and the European Union.
United States
28 Oct 2016
15
Senator Urges President To Replace SEC Chair
Senator Elizabeth Warren (D-MA) "strongly urge[d]" President Obama to "immediately designate another SEC Commissioner as Chair of the agency."
United States
24 Oct 2016
16
CFTC Releases Staff Report On Swap Dealer De Minimis Exception (With Cadwalader Summary)
The CFTC issued a Final Staff Report on whether to lower the Swap Dealer De Minimis Exception threshold. Unless the CFTC takes further action, the threshold is scheduled to decrease from $8 billion to $3 billion in December 2017.
United States
19 Aug 2016
17
FINRA Proposes Additional Disclosure To Retail Customers For Fixed Income Securities Transactions
FINRA proposed amending FINRA Rule 2232 (Customer Confirmation) to require members to disclose markups on certain transactions in corporate debt or agency securities with retail customers.
United States
19 Aug 2016
18
AFL-CIO Sets The Record Straight; Claims SEC Chair Mischaracterized Stance On Disclosure Initiative
AFL-CIO Office of Investment Director Heather Slavkin Corzo complained that SEC Chair Mary Jo White mischaracterized the AFL-CIO's position on the SEC's disclosure initiative.
United States
17 Aug 2016
19
FINRA Proposes Amendments To Rules For Gifts, Gratuities And Non-Cash Compensation (FINRA Reg. Notice 16-29)
FINRA requested comments on proposed amendments to FINRA Rules 3220, 3221 and 3222 concerning gifts, gratuities and non-cash compensation.
United States
17 Aug 2016
20
Reg. Tracker: August 1 Through August 15
The Cabinet Regulatory Tracker provides a list of significant upcoming comment deadlines, effective dates and compliance deadlines.
United States
10 Aug 2016
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