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Court provides clarification on short swing profit rules

Katten Muchin Rosenman LLP
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USA
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August 12 2011

The U.S. District Court for the Southern District of New York dismissed a claim brought under Section 16(b) of the Securities and Exchange Act of 1934, finding that the sale and purchase within six months of two different series of common stock traded under different ticker symbols and not otherwise convertible into one another or derivatives of one another did not constitute the “purchase and sale, or any sale and purchase, of any equity security” under Section 16(b) of the Exchange Act

SEC adopts rules removing credit ratings as short-form eligibility criteria

Katten Muchin Rosenman LLP
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USA
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July 29 2011

On July 26, the Securities and Exchange Commission adopted final rules removing credit ratings as one of the several alternative “transaction” eligibility criteria for companies seeking to use short-form registration statements when registering primary offerings of non-convertible securities

FINRA encourages firms to make reasonable efforts to assist investment advisers seeking information to comply with Rule 206(4)-5

Katten Muchin Rosenman LLP
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USA
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June 10 2011

The Financial Industry Regulatory Authority issued an Information Notice encouraging member firms to make reasonable efforts to assist investment advisers seeking to comply with Rule 206(4)-5 under the Investment Advisers Act of 1940, as amended, which is intended to curb "pay-to-play" practices

FINRA reminds firms of their trade reporting obligations and announces new submission process for Form T

Katten Muchin Rosenman LLP
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USA
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June 10 2011

The Financial Industry Regulatory Authority issued a Trade Reporting Notice reminding member firms of their obligation to report, as soon as practicable, to FINRA's Market Regulation Department on Form T last sale reports of over-the-counter transactions in equity securities for which electronic submission is not possible (such as if the transaction occurred on a holiday or weekend

SEC extends comment period for proposed rules regarding conflict minerals disclosure

Katten Muchin Rosenman LLP
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USA
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February 4 2011

On January 28, the Securities and Exchange Commission extended the comment period for proposed rules to implement Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act regarding "conflict minerals" disclosure from January 31 to March 2

Mixed signals on “say-on-frequency” vote

Katten Muchin Rosenman LLP
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USA
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January 14 2011

Under the Dodd-Frank Wall Street Reform and Consumer Protection Act, public companies holding their annual meetings on or after January 21 will be required to include in their proxy statements a non-binding proposal soliciting shareholders' views on whether "say-on-pay" proposals should be submitted to shareholders on an annual, biennial or triennial basis

SEC increases fees in 2011

Katten Muchin Rosenman LLP
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USA
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January 7 2011

On December 22, President Obama signed H.R. 3082, the continuing resolution that will fund federal agencies until approximately February

ISS publishes FAQs for policies on proxy voting recommendations

Katten Muchin Rosenman LLP
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USA
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January 7 2011

On December 14 and January 4, Institutional Shareholder Services (ISS) published FAQs regarding its policies for determining proxy voting recommendations for meetings to be held on or after February 1

SEC issues proposed rules regarding conflict minerals disclosure

Katten Muchin Rosenman LLP
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USA
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December 17 2010

On December 15, the Securities and Exchange Commission issued proposed rules implementing disclosure and reporting requirements regarding the use by issuers of conflict minerals from the Democratic Republic of the Congo and adjoining countries (DRC countries) added as Section 13(p) to the Securities Exchange Act of 1934 by Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act

ISS publishes updated policies for proxy voting recommendations

Katten Muchin Rosenman LLP
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USA
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December 3 2010

On November 19, Institutional Shareholder Services (ISS) published updated policies for determining its proxy voting recommendations for meetings to be held on or after February 1, 2011

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