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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
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
2
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
3
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
4
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
5
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
6
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
7
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
8
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
9
Banking, Finance And Insurance Letter - Mars-Avril 2019
Le 13 mars 2019, l'ESMA a mis à jour son Interactive Single Rulebook en y intégrant les mesures de niveau 2 et 3 de MiFID II (incluant RTS, actes délégués, opinion et Q&A).
United States
11 Jun 2019
10
Banking, Finance And Insurance Letter - March-April 2019
On March 13, 2019, ESMA updated its Interactive Single Rulebook to incorporate MiFID II Level 2 and 3 measures (including RTS, delegated acts, opinion and Q&A).
United States
11 Jun 2019
11
How The SEC's Proposed Amendments To Financial Disclosures For Acquisitions Will Affect High-Yield Bond Offerings
On May 3, the Securities and Exchange Commission (the SEC) proposed amendments to its rules governing financial disclosures relating to acquisitions and dispositions of businesses.
United States
30 May 2019
12
SEC Proposes Amendments To Accelerated Filer And Large Accelerated Filer Definitions
On May 9, 2019, the SEC proposed amendments to the accelerated filer and large accelerated filer definitions under the Exchange Act.
United States
30 May 2019
13
Requesting Confidential Treatment: SEC Issues Guidance Streamlining The Procedure For Filing Redacted Exhibits
On March 20, 2019, the Securities and Exchange Commission (SEC) adopted a series of amendments which seek to simplify the disclosure requirements for some U.S. public companies.
United States
7 May 2019
14
The Supreme Court Broadens Liability For False Statements Under Rule 10b-5 To "Disseminators"
The decision will likely have a more significant impact in private civil actions rather than in enforcement cases brought by the SEC.
United States
15 Apr 2019
15
SEC Proposes Streamlining Offering Rules For Closed-End Funds And BDCs While Also Proposing New Reporting Obligations
In March 2019, the SEC, at the direction of Congress, proposed rules to modify the registration, communications, and offering processes for business development companies and registered closed-end funds.
United States
11 Apr 2019
16
SEC Staff Issues No-Action Letter Regarding In-Person Voting Requirements For Registered Investment Company
Following a request from the Independent Directors Council, the SEC staff has provided relief from certain sections of the Investment Company Act of 1940.
United States
11 Apr 2019
17
SEC Settlement In The Curt Schilling 38 Studios Matter Highlights The Section 17(a)(2) Liability Of Initial Purchasers In Rule 144A High Yield Offerings
On March 20, 2019, an agreement between Wells Fargo Securities LLC (Wells Fargo) and the Securities and Exchange Commission (SEC) to settle litigation involving failed video game company 38 Studios, LLC.
United States
9 Apr 2019
18
SEC Adopts Amendments To Implement Fast Act Disclosure Modernization And Simplification
On March 20, 2019, the Securities and Exchange Commission (the SEC) voted to adopt amendments to modernize and simplify disclosure requirements for public companies, investment advisers and investment companies.
United States
4 Apr 2019
19
Renewed Spotlight On Rule 10b5-1 Insider Trading Plans: Promoting Transparent Standards For Corporate Insiders Act
On Jan. 28, 2019, the House of Representatives passed with overwhelming bipartisan support (413 to 3) the Promoting Transparent Standards for Corporate Insiders Act (H.R. 624) (the Act).
United States
2 Apr 2019
20
CFTC Divisions Release 2019 Enforcement Priorities
In a regulatory first, the Commodity Futures Trading Commission (CFTC) announced its 2019 examination priorities for registrants of the Division of Market Oversight (DMO) ...
United States
11 Mar 2019
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