Capital Markets & Securities: Updates

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  • What's Market Underwriting Agreements for the Week Ending March 24, 2017 Published on March 23, 2017 Legal update: archive

    A list of underwriting agreement summaries recently published by Practical Law What's Market. What's Market provides a continuously updated database of underwriting agreements that allows you to analyze and compare terms, including representations and warranties and lock-up and termination provisions, across multiple agreements. What's Market also contains links to the underlying public documents.

  • SEC Adopts Final Rule to Shorten Settlement Cycle to T+2 Published on March 23, 2017 Legal update: archive

    The SEC adopted a final rule that amends Rule 15c6-1(a) of the Exchange Act to shorten the standard settlement cycle for broker-dealer securities transactions from T+3 to T+2, subject to certain exceptions.

  • What's Market Underwriting Agreements for the Week Ending March 17, 2017 Published on March 16, 2017 Legal update: archive

    A list of underwriting agreement summaries recently published by Practical Law What's Market. What's Market provides a continuously updated database of underwriting agreements that allows you to analyze and compare terms, including representations and warranties and lock-up and termination provisions, across multiple agreements. What's Market also contains links to the underlying public documents.

  • SEC's Division of Investment Management Issues Information Update for Advisers Relying on Unibanco No-Action Letters Published on March 16, 2017 Legal update: archive

    The staff of the SEC's Division of Investment Management has issued an Information Update for multi-national financial firms relying on a line of no-action letters that discuss the extraterritorial application of the Advisers Act, commonly referred to as the "Unibanco letters."

  • NYSE Proposes Amendments to Listed Company Manual for Companies Listing Without a Prior Exchange Act Registration Published on March 15, 2017 Legal update: archive

    The NYSE issued a proposed rule change that would amend Section 102.01B of its Listed Company Manual to modify the provisions relating to the qualification of companies listing without a prior Exchange Act registration.

  • What's Market Underwriting Agreements for the Week Ending March 10, 2017 Published on March 09, 2017 Legal update: archive

    A list of underwriting agreement summaries recently published by Practical Law What's Market. What's Market provides a continuously updated database of underwriting agreements that allows you to analyze and compare terms, including representations and warranties and lock-up and termination provisions, across multiple agreements. What's Market also contains links to the underlying public documents.

  • SEC Warns of Phishing Scam Targeting EDGAR Filers Published on March 08, 2017 Legal update: archive

    The SEC warned that some EDGAR filers have received malicious emails that appear to be part of a phishing campaign to compromise company network systems and obtain access to non-public information.

  • SEC Publishes IFRS Taxonomy, Allowing FPIs to Begin Submitting Financial Statements in XBRL Published on March 02, 2017 Legal update: archive

    The SEC published an IFRS Taxonomy on its website, which will allow foreign private issuers (FPIs) that prepare their financial statements in accordance with International Financial Reporting Standards (IFRS) to begin submitting those reports using eXtensible Business Reporting Language (XBRL).

  • What's Market Underwriting Agreements for the Week Ending March 3, 2017 Published on March 02, 2017 Legal update: archive

    A list of underwriting agreement summaries recently published by Practical Law What's Market. What's Market provides a continuously updated database of underwriting agreements that allows you to analyze and compare terms, including representations and warranties and lock-up and termination provisions, across multiple agreements. What's Market also contains links to the underlying public documents.

  • SEC Adopts Final Rules to Require Hyperlinks to Exhibits in Filings Published on March 02, 2017 Legal update: archive

    The SEC adopted final rules that amend Item 601 of Regulation S-K and Rules 102 and 105 of Regulation S-T to require registrants to include a hyperlink to each exhibit identified in the exhibit index of a registration statement or periodic or current report.

  • SEC Proposes Inline XBRL Filing of Tagged Data Published on March 02, 2017 Legal update: archive

    The SEC issued proposed rules that would require operating companies to provide their financial statement information in Inline eXtensible Business Reporting Language (XBRL) format.

  • SEC Seeks Comment on Industry Guide 3, Statistical Disclosure by Bank Holding Companies Published on March 01, 2017 Legal update: archive

    The SEC requested public comment on the disclosures required by Industry Guide 3, Statistical Disclosure by Bank Holding Companies.

  • ISS Issues FAQs on Its 2017 US Proxy Voting Policies and Procedures Published on March 01, 2017 Legal update: archive

    Institutional Shareholder Services (ISS) issued frequently asked questions (FAQs) on its 2017 US proxy voting policies and procedures. The FAQs address non-compensation related issues. 

  • What's Market Underwriting Agreements for the Week Ending February 24, 2017 Published on February 23, 2017 Legal update: archive

    A list of underwriting agreement summaries recently published by Practical Law What's Market. What's Market provides a continuously updated database of underwriting agreements that allows you to analyze and compare terms, including representations and warranties and lock-up and termination provisions, across multiple agreements. What's Market also contains links to the underlying public documents.

  • What's Market Underwriting Agreements for the Week Ending February 17, 2017 Published on February 16, 2017 Legal update: archive

    A list of underwriting agreement summaries recently published by Practical Law What's Market. What's Market provides a continuously updated database of underwriting agreements that allows you to analyze and compare terms, including representations and warranties and lock-up and termination provisions, across multiple agreements. What's Market also contains links to the underlying public documents.

  • What's Market Underwriting Agreements for the Week Ending February 10, 2017 Published on February 09, 2017 Legal update: archive

    A list of underwriting agreement summaries recently published by Practical Law What's Market. What's Market provides a continuously updated database of underwriting agreements that allows you to analyze and compare terms, including representations and warranties and lock-up and termination provisions, across multiple agreements. What's Market also contains links to the underlying public documents.

  • SEC Staff Issues Risk Alert on Compliance Topics Frequently Identified in Deficiency Letters to Investment Advisers Published on February 09, 2017 Legal update: archive

    The staff of the SEC's Office of Compliance Inspections and Examinations (OCIE) issued a risk alert that sets out the five compliance topics most frequently identified in deficiency letters that were sent to SEC-registered investment advisers during the past two years.

  • SEC Seeks Public Comments on Implementation of Pay Ratio Rule Published on February 06, 2017 Legal update: archive

    Acting Chairman of the SEC Michael S. Piwowar issued a statement seeking public comments on any unexpected challenges that issuers have experienced as they prepare to comply with the SEC's pay ratio rule.

  • NYSE Sends Its 2017 Memos to Listed Domestic Companies and Foreign Private Issuers Published on February 02, 2017 Legal update: archive

    The NYSE sent its annual memos to listed domestic companies and foreign private issuers summarizing the NYSE's policies and rules that most commonly apply to listed companies.

  • SEC Staff to Reconsider Conflict Minerals Rule Guidance Published on February 02, 2017 Legal update: archive

    Acting Chairman of the SEC Michael S. Piwowar announced that he has directed the SEC's staff to reconsider whether the staff's 2014 guidance on the conflict minerals rule (Rule 13p-1 under the Exchange Act) is still appropriate, and whether any additional relief would be appropriate going forward.

  • What's Market Underwriting Agreements for the Week Ending February 3, 2017 Published on February 02, 2017 Legal update: archive

    A list of underwriting agreement summaries recently published by Practical Law What's Market. What's Market provides a continuously updated database of underwriting agreements that allows you to analyze and compare terms, including representations and warranties and lock-up and termination provisions, across multiple agreements. What's Market also contains links to the underlying public documents.

  • Marblegate Asset Management v. Education Management: Second Circuit Reverses SDNY and Clarifies Right to Payment Under Section 316(b) of the Trust Indenture Act Published on February 01, 2017 Legal update: archive

    In Marblegate Asset Management, LLC v. Education Management Corp., the US Court of Appeals for the Second Circuit reversed the US District Court for the Southern District of New York and ruled in a 2-1 decision that Section 316(b) of the Trust Indenture Act of 1939 only prohibits "non-consensual amendments to an indenture's core payment terms" and does not protect the noteholders' practical ability to receive payment.

  • What's Market Underwriting Agreements for the Week Ending January 27, 2017 Published on January 26, 2017 Legal update: archive

    A list of underwriting agreement summaries recently published by Practical Law What's Market. What's Market provides a continuously updated database of underwriting agreements that allows you to analyze and compare terms, including representations and warranties and lock-up and termination provisions, across multiple agreements. What's Market also contains links to the underlying public documents.

  • Allergan Agrees to $15 Million Fine for Failure to Disclose Merger Negotiations During Hostile Bid Published on January 26, 2017 Legal update: archive

    The SEC announced a settlement with Allergan, Inc., pursuant to which Allergan would pay a $15 million fine and acknowledge its failure to update its Schedule 14D-9 to disclose the merger negotiations it had begun with Actavis plc and another company while fending off a hostile bid from Valeant Pharmaceuticals International Inc.

  • NYSE to Waive Annual Fees for First Partial Year for Companies Transferring from Another Exchange Published on January 24, 2017 Legal update: archive

    The NYSE proposed to waive its annual fees for the first partial year of listing for companies transferring their primary class of equity securities to the NYSE from another national securities exchange. The rule change will take immediate effect on filing with the SEC.

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