The Latest Memos Relating to the SEC & U.S. Securities Law
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FINRA Announces Optional Procedure for Same Day Clearance of Shelf Filings under Rule 5110
Sullivan & Cromwell |
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FINRA Corporate Financing Department Introduces Same-Day Clearance for Non-Exempt Shelf Offerings of Securities
Shearman & Sterling |
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Superseding Stoneridge
McCarter |
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How to Comply With the New Enhanced Proxy Disclosure Rules? Put More “A” and Less “D” in Your Board Deliberations and CD&A
Latham & Watkins Please see our Hot Topics for more on this subject. |
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The SEC’s New Short Sale Rule: Implications and Ambiguities
Davis Polk Please see our Hot Topics for more on the Alternative Uptick Rule. |
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FINRA Streamlines Clearance Process for Certain Shelf Offerings Benefiting Smaller Issuers
K+L Gates |
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Delaware Chancery Upholds 4.99% Poison Pill
Paul Weiss Please see our Hot Topics for more on this subject. |
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Delaware Chancery Court Upholds Adoption and Use of Poison Pill Triggered by Competitor's Acquisition of Stock
Wilson Sonsini Please see our Hot Topics for more on this subject. |
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SEC Provides Details on Amendments to Money Market Fund Rules
Goodwin Procter Please see our Hot Topics for more on this subject. |
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New Information-Posting Requirements for Issuers, Sponsors and Underwriters of Rated Structured Finance Securities
Sidley Austin Please see our Hot Topics for more on recent rulemaking re: NRSROs. |
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SEC Amends Regulation SHO to Impose a Circuit Breaker/Price Test Restriction on Short Sales
Ropes & Gray Please see our Hot Topics for more on the Alternative Uptick Rule. |
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Seeking Shareholder Engagement: SEC Amends e-Proxy Rules to Increase Flexibility
Perkins Coie Please see our Hot Topics for more on this subject. |
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FINRA Implements Same-Day Clearance Process of Shelf Registration Statements
Proskauer |
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SEC Reaffirms Support for a Global Set of Accounting Standards; Conversion to IFRS Still Uncertain
Foley & Lardner Please see our Hot Topics for more on the IFRS Roadmap. |
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FSA successfully appeals decision on foreign request for assistance
Allen & Overy |
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International Regulatory Cooperation: Court of Appeal Supports FSA’s Assistance of SEC in Request for Documents
Fulbright & Jaworski |
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SEC Approves Rule Amendments Affecting Money Market Funds
Sullivan & Cromwell Please see our Hot Topics for more on this subject. |
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SEC Announces Implementation Schedule for New Money Market Fund Rules
Orrick Please see our Hot Topics for more on this subject. |
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Selectica v. Versata: Delaware Chancery Court Upholds “Poison Pill” Shareholder Rights Plan
Morrison & Foerster Please see our Hot Topics for more on this subject. |
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SEC Issues Statement on Path to IFRS Adoption
Gibson Dunn Please see our Hot Topics for more on the IFRS Roadmap. |
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Recent Changes to SEC Rating Agency Reform Impose Burdensome Requirements on Structured Products Participants
Cadwalader Please see our Hot Topics for more on recent rulemaking re: NRSROs. |
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Delaware Court Upholds Use of 4.99% Poison Pill to Protect NOLs [Selectica]
Davis Polk Please see our Hot Topics for more on this subject. |
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SEC to Hold Seminar on XBRL Reporting Compliance
K+L Gates |
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SEC Adopts Amendments to Money Market Fund Rules
K+L Gates Please see our Hot Topics for more on this subject. |
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SEC Adopts Money Market Fund Reform Rules
Willkie Farr & Gallagher Please see our Hot Topics for more on this subject. |
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SEC Adopts Restrictions on the Short Selling of Stocks that Experience Sharp Price Decline
Wilson Sonsini Please see our Hot Topics for more on the Alternative Uptick Rule. |
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Note to SEC: “reasonably likely to be enacted”? You have got to be kidding!
Troutman Sanders Please see our Hot Topics for more on Climate Change Disclosure. |
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SEC Adopts Money Market Fund Reforms
Ropes & Gray Please see our Hot Topics for more on this subject. |
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Recent Staff Interpretations of the SEC’s New Oil and Gas Disclosure Rules Leave Many Questions
Mayer Brown Please see our Hot Topics for more on this subject. |
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Pending Legislation Would Expand Scope of Parties that May Be Sued for Securities Fraud
Jones Day |
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SEC Clarifies New Disclosure Rules for Oil and Gas Reserves
Jones Day Please see our Hot Topics for more on this subject. |
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With Increasing Merger and Acquisition Activity, Be Sure to Consider Some Recent Cases that Could Impact the Transaction
Jackson Walker |
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SEC Adopts New Rule Imposing Limited Price Restrictions on Short Selling
Dewey & LeBoeuf Please see our Hot Topics for more on the Alternative Uptick Rule. |
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Poison Pill Update: Delaware Chancery Court Upholds NOL Rights Plan With 4.99% Trigger [Selectica, Inc. v. Versata, Inc]
Debevoise & Plimpton Please see our Hot Topics for more on this subject. |
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SEC Publishes a Work Plan to Study Potential Adoption of IFRS for U.S. Issuers; Potential Transition to IFRS Delayed Until 2015-2016
Sullivan & Cromwell Please see our Hot Topics for more on the IFRS Roadmap. |
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NYSE Extends Reduced Market Cap and Stockholders’ Equity Continued Listing Requirements; Proposes Making Reduction Permanent
Schulte Roth & Zabel |
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Highlights from "SEC Speaks in 2010”
Sidley Austin |
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Same Day Clearance Option from FINRA for Shelf Offerings Begins Today
Pillsbury |
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The SEC Issues Interpretive Guidance Regarding Disclosure Related to Climate Change
Patton Boggs Please see our Hot Topics for more on Climate Change Disclosure. |
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SEC Issues Amendments to E-Proxy Rules
O'Melveny & Myers Please see our Hot Topics for more on this subject. |
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WHOOSH! FINRA Inaugurates Same Day Clearance for Offerings
Morrison & Foerster |
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The SEC’s New Approach to Your CD&A
Morrison & Foerster |
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SEC Adopts New Short Sale Price Test
Katten Please see our Hot Topics for more on the Alternative Uptick Rule. |
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SEC Amends E-Proxy Rules
Gibson Dunn Please see our Hot Topics for more on this subject. |
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SEC Adopts Amendments to E-Proxy Rules
Akin Gump Please see our Hot Topics for more on this subject. |
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SEC Approves Alternative Uptick Rule
Buchanan Ingersoll & Rooney Please see our Hot Topics for more on the Alternative Uptick Rule. |
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SEC Addresses Global Convergence of Accounting Standards
Cleary Gottlieb Please see our Hot Topics for more on the IFRS Roadmap. |
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US SEC Adopts Amendments to Regulation SHO
Mayer Brown Please see our Hot Topics for more on the Alternative Uptick Rule. |
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SEC MEMO OF THE |
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How to Comply With the New Enhanced Proxy Disclosure Rules? Put More “A” and Less “D” in Your Board Deliberations and CD&A
Latham & Watkins Please see our Hot Topics for more on this subject. |
| Read more... |
SEC Filing Dates, Continuing Education & More.....
- Accelerated Filers - Annual Reports on Form 10-K - Filing Deadline
March 16, 2010
- Non-Accelerated Filers - Annual Reports on Form 10-K - Filing Deadline
March 31, 2010
- Good Friday - Markets Closed (SEC Open)
April 02, 2010
- Large Accelerated Filers and Accelerated Filers - Quarterly Report on Form 10-Q - Filing Deadline
May 10, 2010
- Form 13F - Filing Deadline
May 17, 2010
- Non- Accelerated Filers - Quarterly Reports on Form 10-Q - Filing Deadline
May 17, 2010
- Memorial Day - SEC and Markets Closed
May 31, 2010
The SEC 
