Searching Content indexed under Corporate/Commercial Law by Lawrence Hamilton ordered by Published Date Descending.
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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
Clayton Comes Out Swinging Against Critics Of Regulation Best Interest
In a speech on July 8, 2019, SEC Chair Jay Clayton responded to criticism of Regulation Best Interest, setting out his arguments in a concise, step-by-step rebuttal.
United States
6 Aug 2019
Insurance Company Buyers Of Structured Notes Should Consider Proposed NAIC Amendments
The NAIC Valuation of Securities (E) Task Force will have its first opportunity to consider the SVO's recommendation at its meeting on August 4, 2019.
United States
6 Aug 2019
Reminder: The EU Prospectus Regulation Is Effective – Key Legal Facts
The minimum content requirements for issuer and securities disclosures remain essentially unchanged.
European Union
6 Aug 2019
FINRA Sanctions A Brokerage For Failure To Reasonably Supervise Securities Transactions
FINRA found that Dealer received but did not review the alerts.
United States
6 Aug 2019
FINRA Increases Margin Requirements For ETNs And Options On ETNs
Debt securities, which include ETNs, are margin securities.
United States
6 Aug 2019
FINRA Reminds Firms Of Their TRACE Reporting Obligations
FINRA recently issued a Trade Reporting Notice to remind firms they must report any transaction in a "TRACE-Eligible Security" unless an exception applies.
United States
5 Aug 2019
The SEC Adds Its Voice To The LIBOR Chorus
In a public statement dated July 12, 2019, the SEC's Divisions of Corporation Finance, Investment Management and Trading and Markets, and the Office of the Chief Accountant, encouraged market participants ...
United States
5 Aug 2019
Acquiring Ownership: Considerations In Acquiring A "Controlling" Interest In A US Insurance Company
Investing in a US insurance company presents unique concerns to any investor. This is particularly the case if such an investment would result in the investor becoming a "control" person
United States
25 Jul 2019
SEC Issues Concept Release On Harmonization Of Securities Offering Exemptions
On June 18, 2019, the US Securities and Exchange Commission (SEC) issued a concept release1 soliciting "
United States
16 Jul 2019
An Unconventional Circular Letter: NYDFS Provides The Nation's First Directive On The Proper Use Of Unconventional And Alternative Data
Last month, the New York State Department of Financial Services became the first US regulator to impose specific, substantive requirements on the use of "unconventional sources or types of external data" in financial services.
United States
20 Feb 2019
Eyeing AI: Artificial Intelligence And Its Increasing Impact On The Insurance Industry
The use of artificial intelligence ("AI"), which may be defined as the development of computer systems able to perform tasks normally associated with human intelligence ...
United States
15 Jan 2019
SEC Is Serious About "Equal Prominence" Rule In Presentation Of Non-GAAP Financial Measures In Earnings Releases
The US Securities and Exchange Commission (SEC) recently gave a strong reminder of the importance of providing equal ...
United States
14 Jan 2019
10 Tips For 10-Ks And Proxy Statements
With preparations shifting into high gear for calendar-year companies that file annual reports on Form 10-K and proxy statements with the US SEC, here are tips to consider when drafting these documents.
United States
9 Jan 2019
5 Considerations For General Counsels Regarding The New York Cybersecurity Regulations
The cybersecurity regulation ("CyberRegs") adopted by the New York State Department of Financial Services ("NYDFS")
United States
6 Nov 2018
SEC Decreases Filing Fees For Fiscal Year 2019
The US Securities and Exchange Commission (SEC) has announced a decrease in the filing fees to be paid by public companies and other issuers.
United States
5 Sep 2018
Reporting Consequences And Other Considerations For Changes In Directors Or Executive Officers Of A US Public Company
This Legal Update summarizes the reporting consequences and certain other considerations for a public company in four circumstances involving changes in corporate leadership:
United States
10 Jun 2015
Preparing For The 2015 US Proxy And Annual Reporting Season
It is time for calendar year-end public companies to focus on the upcoming 2015 proxy and annual reporting season.
United States
22 Sep 2014
National Regulatory System Proposed For US Insurance Industry
Citing the ongoing economic crisis and the US government’s bailout of American International Group, Inc. (AIG), Representatives Melissa Bean (D-IL) and Ed Royce (R-CA) have introduced the National Insurance Consumer Protection Act (H.R. 1880) ("NICPA" or the "Act") in the US House of Representatives
United States
18 May 2009
New York To Start Regulating Certain Types Of Credit Default Swaps As Insurance
In a major departure from prior precedent, New York Governor David A. Paterson announced on September 22, 2008, that the New York State Insurance Department (the “Department”) would start regulating certain types of credit default swaps (CDSs) as insurance.
United States
30 Sep 2008
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