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Searching Content indexed under Securities by Foley Hoag LLP ordered by Published Date Descending.
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1
Form SHL: Report of Foreign Residents' Holdings of U.S. Securities Due August 30, 2019
Investment advisers, hedge and private fund managers and U.S.-resident entities should review whether they have any filing obligations under Treasury International Capital ("TIC")
United States
19 Aug 2019
2
Massachusetts Regulators Placing Increased Focus On Cannabis-Related Securities Offerings
Massachusetts Secretary of State Bill Galvin and his Securities Division are increasingly turning their attention toward securities offerings in the cannabis industry
United States
4 Jul 2019
3
Investment Adviser Agrees To Pay $5 Million For Compliance Deficiencies In Valuing Client Assets
On June 4, 2019, the SEC announced that Deer Park Road Management Company, LP, a prominent private fund manager in the mortgage-backed securities space and registered investment adviser...
United States
13 Jun 2019
4
SEC Announces Meeting To Consider Amendments To "Accelerated Filer" And "Large Accelerated Filer" Definitions
Yesterday, the SEC announced that it would hold a public meeting on Thursday, May 9, 2019 to consider whether to propose amendments to the "accelerated filer"
United States
20 May 2019
5
SEC Proposes Amendments To "Accelerated Filer" And "Large Accelerated Filer" Definitions
Yesterday, the SEC announced that it is proposing amendments to the "accelerated filer" and "large accelerated filer" definitions to "reduce costs without harming investors for certain smaller public companies...
United States
16 May 2019
6
Trends In Securities Enforcement Discussed At BBA's White Collar Conference
We have been writing about white-collar enforcement trends discussed at the Boston Bar Association's recent White Collar Crime Conference (see here and here). Today we look
United States
16 May 2019
7
UPDATE: SEC Adopts Streamlined Process For CTR Extensions
Just hours after our recent blog post regarding the need to use the traditional process for CTR extensions, the SEC announced the adoption of a new streamlined process for CTR extensions.
United States
9 May 2019
8
Trap For The Unwary: You Still Need To Renew Confidential Treatment Requests Filed Under The Old Rules
A confidential treatment order for information redacted from an exhibit is about to expire. Under SEC rules that took effect last week (see our prior blog posts here and here),
United States
2 May 2019
9
Supreme Court Extends Securities Fraud Liability To Knowing Dissemination Of False Statements Made By Others
Recently, in Lorenzo v. Securities and Exchange Commission, No. 17-1077, the Supreme Court held that an investment banker had committed securities fraud by copying and pasting false statements.
United States
1 May 2019
10
SEC Staff Issues Additional Guidance On Exhibit Redactions
The SEC staff has issued supplemental guidance regarding its new rules for the redaction of confidential information from certain exhibits, which take effect today.
United States
15 Apr 2019
11
SEC Continues Its Disclosure Simplification Initiative
A few changes will require modest additional disclosures.
United States
11 Apr 2019
12
Possible Expansion Of "Testing The Waters" For Securities Offerings
In apparent recognition of the popularity of "testing the waters" by EGCs before proceeding with an IPO, the Securities and Exchange Commission recently voted to propose an expansion of this accommodation to all companies.
United States
4 Mar 2019
13
Important Dates And Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors And Commodity Pool Operators - February 12, 2019
Important Dates And Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors And Commodity Pool Operators - February 12, 2019
United States
20 Feb 2019
14
Protect Your Rule 10b5-1 Plans From Attack: Best Practices
A single annual plan is stronger than four quarterly plans.
United States
18 Feb 2019
15
And The Beat Goes On . . . Nasdaq Comments On The Shutdown
Proving that where there's a will, there's a way, the U.S. capital markets continue to push forward as the political stalemate at the heart of the federal government shutdown continues.
United States
31 Jan 2019
16
Public Offerings May Continue, Despite SEC Shutdown
The SEC's Division of Corporation Finance has posted helpful FAQs about the impact of the government shutdown on registration statements for public offerings
United States
21 Jan 2019
17
2019 10-K And Proxy Season: A Couple Of Reminders
During this ever-lengthening government shutdown, it's easy to forget that 2018 was a big year for changes to the SEC's disclosure regime, which companies will need to keep in mind as they prepare their 2019 10-Ks and proxy statements.
United States
18 Jan 2019
18
Yes, They Really Mean It: The SEC Brings Another Enforcement Action Relating To The Presentation Of Non-GAAP Financial Measures
This past Boxing Day, the SEC delivered another reminder that it remains intensely focused on public companies' disclosure of non-GAAP financial measures.
United States
17 Jan 2019
19
Better Late Than Never? New Disclosure Requirements For Hedging Policies
These rules were called for by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 but weren't proposed until February 2015.
United States
17 Jan 2019
20
Cybersecurity 2019 — The Year In Preview: Cryptocurrency And SEC Enforcement
This is the fifth in our third annual series examining important trends in data privacy and cybersecurity during the new year.
United States
15 Jan 2019
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