Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights April 18, 2012 Client Update SEC Approves Amendments to FINRA Communications Rules The Securities and Exchange Commission has approved a significant overhaul of FINRA’s rules governing members’ communi... April 9, 2012 Client Update Federal Reserve Issues Supplemental Notice of Proposed Rulemaking on Requirements for Determining Whether Companies are Predominantly Engaged in Financial Activities On April 2, 2012, the Board of Governors of the Federal Reserve System (the “Federal Reserve”) issued a Supplemental N... April 5, 2012 Client Update CFTC Adopts Swap Clearing Documentation, Timing and Risk Management Rules On March 20, 2012, the CFTC finalized a package of rules related to swap clearing. The rules set standards for: the arra... April 5, 2012 Client Update JOBS Act Becomes Law Today President Obama signed into law the Jumpstart Our Business Startups Act (the “JOBS Act”). The JOBS Act includes ... April 4, 2012 Client Update FSOC Issues Final Rule on Designation of Systemically Important Nonbank Financial Companies Yesterday, the Financial Stability Oversight Council issued its final rule and interpretive guidance setting forth the pro... March 30, 2012 Client Update The STOCK Act: Implications for Trading on Political Intelligence On March 22, 2012, the Senate voted 96-3 to adopt the House version of the Stop Trading on Congressional Knowledge Act (th... March 30, 2012 Client Update U.S. Supreme Court Holds that the Statute of Limitations for Section 16(b) Short-Swing Liability Claims Is Not Tolled On March 26, 2012, in Credit Suisse Securities (USA) LLC v. Simmonds, the U.S. Supreme Court held 8 0 that not filing a Se... March 27, 2012 Client Update Congress Passes the JOBS Act By a vote of 380 to 41, the House of Representatives today passed the Jumpstart Our Business Startups (“JOBS”) Act, wi... March 23, 2012 Client Update Senate Passes Legislation To Raise the 500 Shareholder Threshold for SEC Registration and To Relax General Solicitation Prohibition in Reg D Offerings Yesterday, by a vote of 73 to 26, the U.S. Senate passed the Jumpstart Our Business Startups Act, which was approved by th... March 21, 2012 Client Update Investment Management Regulatory Update - March 2012 On February 15, 2012, the Securities and Exchange Commission (the “SEC”) issued a final rule release (the “Release?... Load More
April 18, 2012 Client Update SEC Approves Amendments to FINRA Communications Rules The Securities and Exchange Commission has approved a significant overhaul of FINRA’s rules governing members’ communi...
April 9, 2012 Client Update Federal Reserve Issues Supplemental Notice of Proposed Rulemaking on Requirements for Determining Whether Companies are Predominantly Engaged in Financial Activities On April 2, 2012, the Board of Governors of the Federal Reserve System (the “Federal Reserve”) issued a Supplemental N...
April 5, 2012 Client Update CFTC Adopts Swap Clearing Documentation, Timing and Risk Management Rules On March 20, 2012, the CFTC finalized a package of rules related to swap clearing. The rules set standards for: the arra...
April 5, 2012 Client Update JOBS Act Becomes Law Today President Obama signed into law the Jumpstart Our Business Startups Act (the “JOBS Act”). The JOBS Act includes ...
April 4, 2012 Client Update FSOC Issues Final Rule on Designation of Systemically Important Nonbank Financial Companies Yesterday, the Financial Stability Oversight Council issued its final rule and interpretive guidance setting forth the pro...
March 30, 2012 Client Update The STOCK Act: Implications for Trading on Political Intelligence On March 22, 2012, the Senate voted 96-3 to adopt the House version of the Stop Trading on Congressional Knowledge Act (th...
March 30, 2012 Client Update U.S. Supreme Court Holds that the Statute of Limitations for Section 16(b) Short-Swing Liability Claims Is Not Tolled On March 26, 2012, in Credit Suisse Securities (USA) LLC v. Simmonds, the U.S. Supreme Court held 8 0 that not filing a Se...
March 27, 2012 Client Update Congress Passes the JOBS Act By a vote of 380 to 41, the House of Representatives today passed the Jumpstart Our Business Startups (“JOBS”) Act, wi...
March 23, 2012 Client Update Senate Passes Legislation To Raise the 500 Shareholder Threshold for SEC Registration and To Relax General Solicitation Prohibition in Reg D Offerings Yesterday, by a vote of 73 to 26, the U.S. Senate passed the Jumpstart Our Business Startups Act, which was approved by th...
March 21, 2012 Client Update Investment Management Regulatory Update - March 2012 On February 15, 2012, the Securities and Exchange Commission (the “SEC”) issued a final rule release (the “Release?...