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You are here: SEC & Securities Law Rules, Regulation & Guidance Blank Rome: Up To Date: Current Developments in Securities Law

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BlankRomeLogoUp To Date: Current Developments in Securities Law

Blank Rome
November 2, 2012
7 pages

In this Issue:


JOBS ACT Coverage

  • New SEC Guidance on Emerging Growth Companies
  • Draft Registration Statements Must Be Submitted to the SEC Via EDGAR

Corporate Governance

  • NYSE Proposes New Rules Related to Compensation Committee and Committee Adviser Independence
  • Nasdaq Compensation Committee Rules Will Become a Mini-Me of Its Audit Committee Rules
  • Political Spending Disclosure (Like Political Spending) Is on the Rise

Investment Adviser Regulation

  • SEC Issues Letter to New Investment Advisers Regarding Presence Exams

SEC Comment Letter Trends

  • The SEC Digs Deep to Determine Whether Your Company Should be Reporting Financial Information by Segment

Practice Tips

  • Over $85 Million in FCPA Fines and Penalties Announced in the Past 90 Days—Is It Time to Add an FCPA Risk Factor?

SEC Rules, Regulation & Guidance

Lowenstein Sandler: Dodd-Frank Act Rulemaking: SEC and CFTC Issue Red Flags Rules to Address Identity Theft

May 17, 2013 SEC & CFTC Adopt Identity Theft Rules

Clifford Chance: SEC Proposes U.S. Regulatory Regime for Cross-Border Securities-Based Swap Activities

May 17, 2013 SEC Proposes Rules for Cross-Border Security-Based Swap Activities

Fried Frank: SEC Proposes Rules for Cross-Border Security-Based Swap Transactions

May 16, 2013 SEC Proposes Rules for Cross-Border Security-Based Swap Activities