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Searching Content indexed under Securities by Lawrence Hamilton ordered by Published Date Descending.
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1
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
2
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
3
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
4
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
5
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
6
FINRA Increases Margin Requirements For ETNs And Options On ETNs
Debt securities, which include ETNs, are margin securities.
United States
6 Aug 2019
7
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
8
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
9
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
10
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
11
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
12
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
13
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
14
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
15
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
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