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Blank Rome: Current Developments in Securities Law

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Current Developments in Securities Law

Blank Rome
December 3, 2012
7 pages

In this Issue:

Practice Tips

Effect of Hurricane Sandy Should Be Analyzed in Form 10-K Filings

NASDAQ News

Annual Fee Increase for NASDAQ-listed Companies
NASDAQ May Issue a Press Release Regarding Your Deficiency in Listing Standards

Proxy Season

Caught Between a Rock and a Hard Place
New Staff Legal Bulletin 14G Addresses Rule 14a-8 Shareholder Proposal Issues
ISS Releases 2013 Updates to Proxy Voting Guidelines

SEC Comment Letter Trends

SEC Updates Comment Letter Process

SEC Rules, Regulation & Guidance

Willkie Farr & Gallagher: SEC Proposes Changes To Money Market Funds

June 18, 2013 SEC Proposes Further Money Market Reforms

K&L Gates: SEC Proposes Major Revisions to Money Market Fund Rules

June 17, 2013 SEC Proposes Further Money Market Reforms

Ropes & Gray: SEC Proposes Reforms for Money Market Funds

June 17, 2013 SEC Proposes Further Money Market Reforms

SEC & CFTC Adopt Identity Theft Rules

Proskauer: SEC and CFTC Adopt "Red Flag" Identity Theft Rules

Akin Gump: Red Flag Rules Likely Inapplicable to Advisers and CPOs but Must be Addressed

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

JOBS Act & Crowd Funding

Dechert: Investment Portals Addressed in SEC Staff Guidance Under JOBS Act; No-Action Letters Also Issued

Kelley Drye: Crowdfunding - The JOBS Act and the SEC's Missing Rules [Powerpoint presentation]

Pepper Hamilton: The Trouble with Crowdfunding

SEC Guides Private Funds on Broker-Dealer Registration Requirements

Proskauer: SEC Staffer Cautions Private Funds Industry on Potential Broker Registration Issues

Paul Hastings: SEC Chief Counsel Cautions Newly Registered Private Fund Advisers on Broker-Dealer Registration Issues Relating to In-House Marketing and Other Activities

Skadden: SEC Staff Warns That Advisers May Be Required to Register as Broker-Dealers

SEC Proposes Regulation Systems Compliance and Integrity ("SCI") Rules

Alston & Bird: SEC Proposes Regulation Systems Compliance and Integrity (“Regulation SCI”)

WilmerHale: SEC Gets SCI-entific About Trading Systems with Proposed Regulation SCI

Bingham: SEC Seeks Comment on Proposed Rule for New Regulation Systems Compliance and Integrity

SEC Proposes to Eliminate Rule 506 and Rule 144A “General Solicitation” Prohibitions

McGuireWoods: Advertised Private Placements: Will the SEC Adopt An Interim Rule or Re-Propose the Rule?

McGuireWoods: Advertised Private Placements: Update on Status: New SEC Chairman Will Get the Ball Rolling Again

Shearman & Sterling: Advertising Rules for Private Funds: A Post-JOBS Act Primer

SEC's Shareholder Proposal Rule (14a-8) & Private Ordering

Hogan Lovells: SEC staff updates guidance on shareholder proposals

Chadbourne & Parke: SEC Staff Issues New Guidance Regarding Rule 14a-8 Shareholder Proposals

Venable: SEC Releases Guidance on Shareholder Proposals