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Searching Content indexed under Securities by Troutman Sanders LLP ordered by Published Date Descending.
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1
Short-Termism: Should The SEC Take Action?
The Securities and Exchange Commission Division of Corporation Finance recently hosted a roundtable to discuss short-termism
United States
12 Aug 2019
2
Where Have The SEC Enforcement Actions Gone?
In several weeks, the U.S. Securities and Exchange Commission will release its annual enforcement results, and speculation about the trajectory of the SEC's Division of Enforcement will resume in full force.
United States
1 Oct 2018
3
Debt Previously Contracted ("DPC") Investments: Equity By Accident Or Safe And Sound M&A For Lenders?
Banks have several weapons in their arsenal to prevent corporate loan defaults, including foreclosure and acting on collateral.
United States
3 Aug 2018
4
Time To Assess "Foreign Private Issuer" Status (2018)
The determination of whether issuers satisfy the definition must be run on June 29, 2018, for issuers with a December 31st fiscal year end.
United States
27 Jun 2018
5
Supreme Court Unanimously Decides That State Courts Have Jurisdiction Over Class Actions Brought Under The Securities Act Of 1933
In a unanimous decision on March 20, 2018, the United States Supreme Court held in Cyan, Inc. et al. v. Beaver County Employees Retirement Fund, et al., 583 U.S. ____ (2018) ...
United States
26 Mar 2018
6
Supreme Court Scales Back Definition Of "Whistleblower" For Dodd-Frank's Anti-Retaliation Provision
The Supreme Court decided in Digital Realty Trust, Inc. v. Somers that employees who report alleged securities laws violations internally, but not to the Securities and Exchange Commission ("SEC") ...
United States
27 Feb 2018
7
Foreign Private Issuers Using IFRS Must Begin Submitting Financial Statements In XBRL
In January 2009, the United States Securities and Exchange Commission ("SEC") adopted rules requiring foreign private issuers preparing their financial statements ...
United States
23 Feb 2018
8
Eleventh Circuit Imposes Joint And Several Liability On Payment Processor For Fraud By Client
On November 13, the U.S. Court of Appeals for the Eleventh Circuit affirmed the imposition of joint and several liability on a payment processor that had provided "substantial assistance" to another entity ...
United States
18 Dec 2017
9
Time To Assess Foreign Private Issuer Status
It is time to assess ?foreign private issuer? status. Canadian public and private issuers enjoy the benefits of significant exemptions and exclusions from registration under U.S. federal securities laws...
United States
30 Jun 2017
10
Supreme Court Ruling In SEC Case Could Affect FERC Enforcement Proceedings Involving Disgorgement
On June 5, 2017, the U.S. Supreme Court ("Supreme Court") held that 28 U.S.C. § 2462's ("Section 2462") five-year limitations period for the enforcement of penalties applies to claims for disgorgement...
United States
21 Jun 2017
11
SEC Adopts T+2 Settlement Cycle For Securities Transactions
The United States SEC adopted an amendment to shorten by one business day the standard settlement cycle for most broker-dealer securities transactions from three business days after the trade date...
United States
25 Apr 2017
12
Foreign Private Issuers May Begin Submitting Their Financial Statements In XBRL
On January 30, 2009, the United States Securities and Exchange Commission (SEC) adopted rules requiring foreign private issuers preparing their financial statements using International Financial Reporting Standards (IFRS),
United States
31 Mar 2017
13
SEC Staff Issues New C&DIs Related To Foreign Issuers And Other Matters
The Securities and Exchange Commission (the "SEC") released new compliance and disclosure interpretations ("C&DIs") on December 8, 2016.
United States
29 Dec 2016
14
SEC Proposes To Require Hyperlinks To Exhibits
The Securities and Exchange Commission issued a proposal on August 31, 2016 that if adopted will require a public company to include a hyperlink to each exhibit...
United States
16 Sep 2016
15
SEC Proposes Amendments To Definition Of "Smaller Reporting Company" To Expand Availability
On June 27, 2016, the SEC proposed amendments that, if adopted, would allow more companies to qualify for "smaller reporting company" (SRC) status.
United States
26 Jul 2016
16
Cross-Border Mergers In Europe Just Became Easier
On July 15, 2016, the Securities and Exchange Commission acquiesced to the issuance of unregistered securities in a cross-border merger between European Union jurisdictions.
United States
25 Jul 2016
17
Regulatory And Enforcement Round Up: A Record CFTC Whistleblower Award And Some Key DOJ/SEC FCPA Instructions For Companies
In a press release issued on April 4, 2016, the Commodity Futures Trading Commission (CFTC) announced that it paid a $10 million award to a whistleblower for original information that led to a major enforcement action by the CFTC.
United States
5 Jul 2016
18
Summer Preparedness: Don't Forget The Sunscreen Or Your Articles And Bylaws!
The period between the annual meeting of shareholders and the commencement of year-end activities is an excellent time for bank holding companies and banks to assess their articles of incorporation and bylaw...
United States
9 Jun 2016
19
SEC Misses The Mark With Non-GAAP Guidance And Comments
SEC Staff guidance in the form of Q&As – known as Compliance and Disclosure Interpretations, or C&DIs – typically is helpful.
United States
2 Jun 2016
20
SEC Adopts Interim Final Rules Implementing 'FAST' Act Provisions
On January 13, 2016, the Securities and Exchange Commission (the "SEC") announced that it approved interim final rules implementing two provisions of The Fixing America's Surface Transportation Act (the "FAST Act").
United States
18 Jan 2016
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