myCorporateResource.com

Skip to content

You are here: Crisis & Recovery

SEC's Crisis Response

Skip to content

Trending ..... Bowman v. Monsanto: SCOTUS on Self-Replicating Technologies (eg Seeds) ..... Broker-Dealer Faces FCPA, Travel Act and Securities Fraud Charges for Venezuelan Payments ..... NLRB's Employee Rights Poster Comes Down ..... Ralph Lauren Settles FCPA Charges ..... Kiobel: SCOTUS Sends Alien Tort Statute Packing ..... DoJ Cuts Corporate Plea Agreement Carve-Out ..... The SEC's Netflix Report: Regulation FD and Social Media ..... Changes to DGCL Would Simplify Back-end Mergers ..... SCOTUS Decides Comcast v Behrend ..... Standard Fire: SCOTUS on CAFA Amount in Controversy Rules ..... Kallick: DE Board Enjoined from Opposing Rival Slate ..... Advisers Falling Short on Custody Rule ..... How Bad Will it Be? That is Sequestration ..... Gabelli v. SEC: SCOTUS on Limitations Period for Federal Enforcement Actions ..... HIPAA Omnibus Rule ..... Final FATCA Regs ..... PPACA: Play or Pay ..... DOJ/SEC Issue FCPA Guidance .....

SEC's Crisis Response

SEC's Crisis Response

Milbank: Mixed Signals, but Hope, for a Private Adviser Broker-Dealer Exemption

May 08, 2013 SEC Actions Dodd-Frank Act Provisions on Investment Adviser Registration

Skadden: SEC Releases Additional Frequently Asked Questions Regarding Form PF

April 13, 2013 SEC & CFTC Adopt Form PF; Private Fund Systemic Risk Reporting

Venable: Disclosing Company Responses to Negative Say-on-Pay Votes

March 06, 2013 SEC Adopts Say-on-Pay, Golden Parachute Rules

SEC Proposes Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants

Sutherland: SEC Proposes Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants

Cleary Gottlieb: SEC Proposes Business Conduct Standards

Sullivan & Cromwell: SEC Proposes Business Conduct Standards Under Title VII of Dodd-Frank: SEC Issues Proposed Rules Regarding Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants

SEC Actions Dodd-Frank Act Provisions on Investment Adviser Registration

Milbank: Mixed Signals, but Hope, for a Private Adviser Broker-Dealer Exemption

Bingham: Guide to SEC Investment Adviser Registration for Hedge Fund and Private Equity Fund Managers

ReedSmith: What you need to know about the changes to the U.S. Investment Advisers Act after Dodd-Frank: How to become a U.S. registered adviser or confirm an available exemption

SEC Adopts Exemptions From Investment Adviser Registration

Skadden: Venture Capital Fund Adviser Exemption

Jones Day: Exempt Reporting Advisers: Requirements for Investment Advisers that Qualify as Venture Capital Advisers or Private Fund Advisers

Skadden: The Private Fund Adviser Exemption and the Foreign Private Adviser Exemption Under the Investment Advisers Act

SEC Adopts "Family Offices" Exemption From Investment Adviser Registration Rules

Jenner & Block: New Family Office and Tax Considerations

Perkins Coie: Division of Investment Management Responds to Questions Regarding Definition of “Family Office” Under Dodd-Frank Act

Skadden: SEC Staff Responds to Questions About the Family Office Rule

CFTC and SEC Defer Dodd-Frank Swaps Requirements

Skadden: CFTC Issues Final Effective-Date Order to Avoid Disruption to Swap Markets

Sidley Austin: CFTC Proposes Additional Delays in Effective Dates for Swap Provisions of Dodd-Frank

Shearman & Sterling: CFTC Extended Relief with Respect to Dodd-Frank Effective Dates for Derivatives

SEC "Re-Adopts" Beneficial Ownership Rules for Equity-Based Swaps

Milbank: SEC Proposes to Re-Adopt Beneficial Ownership Reporting Rules to Clarify Their Application to Security-Based Swaps

K&L Gates: SEC Proposes Rules Regarding Beneficial Ownership Reporting with Respect to Security-Based Swaps

Davis Polk: SEC Adopts Rule on Beneficial Ownership of Security-Based Swaps

SEC Actions Dodd-Frank Whistleblowing Rules

WilmerHale: Year Three of the SEC Whistleblower Program: Will It Turbocharge SEC Enforcement?

Latham & Watkins: Attorneys as SEC Whistleblowers: Can an Attorney Blow the Whistle on a Client and Get a Monetary Award?

DLA Piper: Fewer opportunities seen for foreign whistleblowers

SEC Disqualifies Felons & "Bad Actors" From Rule 506 Offerings

Sullivan & Cromwell: SEC Proposes Rules Disqualifying Unregistered Securities Offerings Involving “Bad Actors” from Reliance on the Rule 506 Safe Harbor

Paul Weiss: SEC Proposes Rule Amendments Disqualifying Certain Private Placements Involving Bad Actors

Stroock: SEC Proposes Amendments to Rule 506 to Disqualify Certain Issuers Associated with 'Bad Actors'

SEC Actions Dodd-Frank Provisions Re: Credit Ratings/Agencies

Sullivan & Cromwell: SEC Proposes a Broad Range of Amendments to Implement Dodd-Frank Act Provisions

Bass Berry Sims: SEC Proposes Rules Related to Nationally Recognized Statistical Rating Organizations

Morrison Foerster: SEC Proposal for Removal of Certain References to Credit Ratings in Rules 101 and 102 of Regulation M

SEC Increases Investment Advisers Act "Qualified Client" Thresholds

McGuireWoods: Qualified Client Rule Change Impacts Fund Managers in May 2012

Thompson Hine: SEC Amends Performance Fee Rule

Proskauer: SEC Amends the Advisers Act Performance Fee Rule to Tighten Standards for "Qualified Clients" and Adopt "Grandfathering" Provisions

SEC/CFTC Issue Definitions for "Swap" & "Security-based Swap"

Hogan Lovells: CFTC issues proposed rules on the definition of "swap" and on capital requirements for swap dealers and major swap participants

Fulbright & Jaworski: CFTC Issues Proposed Rules Defining Swaps and Swap Dealer Capital Requirements, Winds down Rule-Writing Proposal Phase of Derivatives Reform and Reopens Public Comment Period

Bracewell & Giuliani: CFTC Proposes a Swap Product Definition and Capital Requirements Under Dodd-Frank

SEC (et al) Propose Risk Retention ("Skin in the Game") Rules for Securitizations

Alston + Bird: New CREFC Mediation Proposal: A Response to SEC's Proposed Breach Enforcement Regulation

Kaye Scholer: Risk Retention is Coming — What Will it Look Like?

White & Case: EU-US Risk Retention Comparison

Federal Agencies Propose Incentive-Based Compensation Rules for Financial Institutions

Cadwalader: Joint Agencies’ Proposed Rules Governing Incentive-Based Compensation at Covered Financial Institutions

Willkie Farr & Gallagher: Federal Agencies Issue Proposed Rule Regarding Financial Institutions’ Incentive-Based Compensation

Pillsbury: New Rules Proposed for Incentive-Based Compensation at Covered Financial Institutions

SEC Adopts New Rules for Compensation Committees & Compensation Advisers

Ropes & Gray: SEC Adopts Final Rules on Compensation Committee Listing Standards and Consultant Conflicts of Interest

Foley & Lardner: SEC Releases Final Rules Regarding Compensation Committees, Compensation Consultants, and Other Advisers

Fried Frank: Compensation Committee Independence and the Role and Disclosure of Compensation Consultants and Other Advisers

CFTC & SEC Propose Rules For Swap Execution Facilities

Sullivan & Cromwell: SEC Proposes Rules on Registration of Security-Based Swap Execution Facilities

Proskauer: SEC Proposes New Rules for Defining Security-Based Swap Execution Facilities

K&L Gates: CFTC Proposes Rules on Swap Execution Facilities Pursuant to Sections 723 and 733 of the Dodd-Frank Act