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Searching Content by Anna T. Pinedo from Mayer Brown ordered by Published Date Descending.
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1
Testing The Waters For All – New Rule 163B Expands TTW To All Issuers
On September 26, 2019, the US Securities and Exchange Commission (Commission) extended the ability to test the waters to all issuers by adopting the highly anticipated new Rule ...
United States
9 Oct 2019
2
Proposed Changes To Rule 15c2-11
One of the Securities and Exchange Commission's priorities under Chair Clayton's leadership has been protection of retail investors, including through rigorous enforcement of microcap fraud
United States
7 Oct 2019
3
Establishing An Issuer Rule 10b5-1 Plan With An ATM Offering
This article summarizes key questions that an issuer may raise in connection with deciding whether to establish a Rule 10b51 trading plan in conjunction with the issuer's at-the-market offering program.
United States
3 Oct 2019
4
SEC Proposes Update Of Statistical Disclosures For Bank And Savings And Loan Registrants, Replacing Industry Guide 3
On September 17, 2019, the Securities and Exchange Commission (SEC) proposed rules to update the statistical disclosures that bank and savings and loan registrants provide to investors.
United States
27 Sep 2019
5
Upcoming SEC Open Meeting (September 27,2019)
On September 25, 2019, the Securities and Exchange Commission will hold an open meeting to consider a number of topics
United States
27 Sep 2019
6
House Financial Services Committee And House Of Representatives Address Capital Formation Related Bills
This past week, the House Financial Services Committee considered and passed a few bills that would, if passed by the House, result in changes to the securities laws.
United States
26 Sep 2019
7
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
8
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
9
Volcker Rule Revisions Adopted By Agencies - August 29, 2019
The US federal banking and functional regulators ("Agencies")1 have finalized revisions to the proprietary trading and compliance program provisions of the Volcker Rule (the "2019 Revisions").2
United States
3 Sep 2019
10
FINRA Rule 5110 – An Amendment To The Proposed Rule Change
The Financial Industry Regulatory Authority, Inc. ("FINRA") has again released proposed revisions to FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements).
United States
2 Sep 2019
11
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
12
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
13
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
14
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
15
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
16
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
17
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
18
SEC Guidance Issued On Proxy Matters
At an open meeting today, the Securities and Exchange Commission issued guidance to assist investment advisers in fulfilling their proxy voting responsibilities
United States
23 Aug 2019
19
SEC Proposed Changes To Accelerated And Large Accelerated Filer Definitions
In this Lexis Practice Advisor® Practice Note, we discuss the proposed amendments issued by the Securities and Exchange Commission
United States
22 Aug 2019
20
General Solicitation And General Advertising
Rule 502(c) ("Rule 502(c)") of the Securities Act of 1933, as amended (the "Securities Act"), prohibits an issuer from offering or selling securities by any form of general solicitation or general advertising when conducting certain
United States
20 Aug 2019
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