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1
Preparing 2019 Registration Statements And Annual Reports: What Foreign Private Issuers And Their Counsel Need To Know
In this article published in The Review of Securities & Commodities Regulation, we discuss the implications of the SEC's recent actions to modernize and simplify disclosure requirements
United States
16 Sep 2019
2
Insights From Chair Clayton On SEC Priorities
At the Economic Club of New York, in keynote remarks, Chair Clayton reviewed the Securities and Exchange Commission's recent initiatives.
United States
13 Sep 2019
3
SEC Announces Significant Changes To Shareholder Proposal Process
On September 6, 2019, the Division of Corporation Finance of the US Securities and Exchange Commission announced a significant change to its process with respect
United States
12 Sep 2019
4
Market Trends 2018/19: Staff Legal Bulletins No. 14I And 14J On Shareholder Proposals
This market trends article discusses Staff Legal Bulletin No. 14I and Staff Legal Bulletin No. 14J of the Division of Corporation Finance of the Securities and Exchange Commission,
United States
11 Sep 2019
5
SEC Issues Guidance Releases Related To Proxy Voting Responsibilities Of Investment Advisers And Other Proxy Voting Issues
On August 21, 2019, the Securities and Exchange Commission published two separate releases related to proxy voting issues. One release provided guidance regarding
United States
11 Sep 2019
6
SEC Publishes Guidance On The Proxy Voting Responsibilities Of Investment Advisers
On August 21, 2019, the US Securities and Exchange Commission (SEC) published guidance on the proxy voting responsibilities of investment advisers under the Investment Advisers Act of 1940
United States
11 Sep 2019
7
Business Development Company Guide For Capital Markets
In this Lexis Practice Advisor® Practice Note, we provide answers to questions frequently asked by securities lawyers and their clients regarding the federal securities laws
United States
10 Sep 2019
8
Changes In California Law May Provide New Opportunities For ABS And MBS Issuers And California Governmental Entity Investors
California law restricts the types of instruments in which California cities, districts and other local agencies can invest public funds.
United States
9 Sep 2019
9
FINRA Seeks Comment On Senior Protection Rules
On August 9, 2019, FINRA issued Regulatory Notice 19-27 requesting comments on its rules and administrative processes that most directly apply to financial exploitation of senior investors.
United States
2 Sep 2019
10
Update On Proposed NAIC Amendments Affecting Insurance Company Buyers Of Structured Notes
As we reported in the prior issue, the National Association of Insurance Commissioners Valuation of Securities Task Force would be considering the recommendation from the Director of the NAIC Securities Valuation Office.
United States
2 Sep 2019
11
FINRA Reminds Firms To Engage With The SEC On Regulation Best Interest
On August 7, 2019, FINRA issued Regulatory Notice 19-26, which reminded member firms that Regulation Best Interest and the related Form CRS relationship summary were each adopted by the SEC on June 5, 2019.
United States
2 Sep 2019
12
SEC Issues Guidance On The Application Of The Proxy Rules To Voting Advice
With the increased concentration of share ownership by institutional investors over the past several decades
United States
2 Sep 2019
13
Volcker Rule Revisions Adopted By Agencies
The Federal Deposit Insurance Corporation ("FDIC"), Office of the Comptroller of the Currency ("OCC"), Board of Governors of the Federal Reserve System ("Federal Reserve"),
United States
2 Sep 2019
14
FIMSAC Approves Recommendation For Investor Education Regarding Retail Notes
In a meeting held on July 29, 2019, the SEC's Fixed Income Market Structure Advisory Committee ("FIMSAC") unanimously approved its Corporate Bond Transparency Subcommittee's
United States
2 Sep 2019
15
Annual Review Of Federal Securities Regulation
The Annual Review of Federal Securities Regulation, prepared by the Subcommittee on Annual Review of the Committee on Federal Regulation of Securities of the ABA Business Law Section
United States
30 Aug 2019
16
SEC's Proposed Expansion Of Testing-The-Waters Communications: First Analysis
In this Lexis Practice Advisor® Practice Note, we discuss the Securities and Exchange Commission's (SEC) proposed rule that would expand the permitted
United States
30 Aug 2019
17
SEC Increases Filing Fees For Fiscal Year 2020
The US Securities and Exchange Commission (SEC) has announced an increase in the filing fees to be paid by public companies and other issuers during the SEC's 2020 fiscal year.
United States
30 Aug 2019
18
Legal Update: SEC Issues Guidance On The Application Of The Proxy Rules To Voting Advice
With the increased concentration of share ownership by institutional investors over the past several decades, the influence of proxy advisory firms on shareholder votes has grown dramatically
United States
29 Aug 2019
19
Update On Healthcare Financings In 2019
In a recent briefing, CB Insights reported increased funding in the healthcare sector for the first half of 2019 with $26.9 billion invested in healthcare companies
United States
28 Aug 2019
20
Investment-Related Initiatives From The NAIC Meeting Of August 4, 2019
The National Association of Insurance Commissioners ("NAIC") held its most recent national meeting from August 3-6, 2019 in New York City
United States
27 Aug 2019
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