SEC Releases Report on Regulation S-K’s Disclosure Requirements

On December 20, 2013, the Securities and Exchange Commission released a report, required by Section 108 of the JOBS Act, that reviews the disclosure requirements in Regulation S-K.   The report summarizes the Commission’s prior initiatives, reviews the current disclosure requirements, …

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Morrison & Foerster discusses CFTC Speculative Position Limits Proposal

On November 5, 2013, the Commodity Futures Trading Commission (“CFTC” or “Commission”) proposed new speculative position limits. The proposal (“New Proposal”) would establish spot-month and non-spot-month limits for 28 core physical commodity contracts and their “economically equivalent” futures, options, and

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Why Have No High Level Executives Been Prosecuted In Connection With The Financial Crisis?

The following comes to us from the Honorable Judge Jed S. Rakoff, who sits in the U.S. District Court for the Southern District of New York.  Judge Rakoff is also an adjunct professor at Columbia Law School and will be

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Federal Reserve Proposes Bank Liquidity Requirements That Exceed the Basel III Standard

The following post is based on a memo originally published by Skadden, Arps, Slate, Meagher and Flom LLP & Affiliates on October 24, 2013.

The Federal Reserve Board (Board) today approved a proposed rule requiring larger U.S. banking organizations maintain …

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Dechert discusses the Office of Financial Research’s Report on Asset Management and Financial Stability

The Office of Financial Research (“OFR”), an office of the U.S. Department of the Treasury, recently issued a report that may provide a roadmap for future designations by the Financial Stability Oversight Council (“FSOC”) of asset management companies for supervision …

Haynes and Boone discusses SEC’s $14 Million Award to Whistleblower

After two years of operations, the SEC’s whistleblower program announced its first multimillion dollar award – a record $14 million payment to an anonymous tipster. The award is the largest of three announced since the program’s inception and emphatically signals …

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Adoption of Rules Regarding Municipal Advisor Registration

Commissioner Kara M. Stein gave the following statement on September 18, 2013 at an SEC open meeting in Washington D.C.  The new municipal advisor registration rules are available here.

Municipalities are the lifeblood of many communities.  They provide the …

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