Searching Content indexed under Finance and Banking by Robert Evans ordered by Published Date Descending.
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Smoothing The Path For Financial Institutions On Brexit
The U.K.'s HM Treasury has set out its approach to the grandfathering of EU27 businesses on Brexit and to how existing EU financial services directives and regulations are to be adopted...
10 Jul 2018
Keeping Marblegate In Perspective: Implications For Debt Restructurings, Indenture Amendments And New Bond Issues
Involuntary debt restructurings that have the effect of impairing a bondholder's right to receive payment may violate the Trust Indenture Act.
United States
20 Jul 2015
Exchanges Alter View On 20% Rule For Convertible Bonds
Bankers who originate convertible bonds issued and companies interested in issuing convertible bonds received a rare regulatory win a couple of months ago.
United States
3 Jun 2015
Flexibility For Debt Refinancings – New SEC No-Action Letter
The SEC staff issued a no-action letter recently that will allow some companies to refinance their debt using tender and exchange offers shorter than the 20 business days required in the tender offer rules.
United States
11 Feb 2015
Revival Of REIT Rulings Could Mean Good News For Companies With Non-Traditional Assets Considering Becoming Reits
In recent years, there has been a considerable expansion of the types of companies holding non-traditional real estate assets that have elected to become real estate investment trusts for US federal income tax purposes ("REITs").
United States
27 Nov 2013
Iran Notices Update: SEC-Registered Issuers Continue To Adapt To Their New Normal
It has been over eight months since SEC-registered issuers began making mandatory disclosures of business activities in or with Iran.
United States
11 Nov 2013
Court Upholds SEC Rule on Conflicts Minerals
On July 23, 2013, the US District Court for the District of Columbia found "no problems with the SEC’s rulemaking" by its adoption of the Conflict Minerals Rule pursuant to Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank").
United States
26 Jul 2013
Court Vacates SEC Rule On Disclosure Of Government Payments By Resource Extraction Issuers While Similar EU Requirement Is Finalized
A US court has recently vacated the new SEC rule requiring resource extraction issuers to file annual reports with information about government payments for the commercial development of oil, natural gas or minerals.
United States
16 Jul 2013
Preparing For Large Trader Reporting
Recently, the Securities and Exchange Commission ("SEC") adopted its proposed Large Trader reporting rule, Rule 13h-1, along with Form 13H, a reporting form designed to enhance the ability of the SEC to identify large market participants, collect information on their trading, and analyze their trading activity.
United States
12 Oct 2011
SEC Approves FINRA Amendments To Conflict Of Interest Rules For Securities Offerings
On September 14, 2006, the National Association of Securities Dealers, Inc. published for comment proposed amendments to NASD Conduct Rule 2720 relating to conflicts of interest that occur in the context of securities distributions.
United States
2 Sep 2009
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