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SEC adopts proxy rule changes to notice and access model

Katten Muchin Rosenman LLP
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USA
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February 26 2010

On February 22, the Securities and Exchange Commission adopted final rule changes to its notice and access proxy solicitation model (also known as the "notice-only option") which provides for Internet availability of proxy materials following the provision to shareholders of a notice of Internet availability

SEC issues new interpretations on use of non-GAAP financial measures and Item 2.02 of Form 8-K

Katten Muchin Rosenman LLP
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USA
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January 15 2010

On January 11, the Securities and Exchange Commission’s Division of Corporation Finance issued new Compliance and Disclosure Interpretations (C&DIs) on rules, regulations and forms related to non-generally accepted accounting principles (GAAP) financial measures Item 2.02 of Form 8-K

SEC announces filing fee increases for FY 2011

Katten Muchin Rosenman LLP
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USA
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April 30 2010

On April 29, the Securities and Exchange Commission announced that for the government’s fiscal year 2011, registration fees under the Securities Act of 1933 will increase from the current rate of $71.30 per $1 million registered to $116.10 per $1 million, an increase of approximately 63

FINRA revises policy on free writing prospectuses

Katten Muchin Rosenman LLP
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USA
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October 29 2010

The Financial Industry Regulatory Authority recently issued Regulatory Notice 10-52, which states that any free-writing prospectus (FWP) distributed by a broker-dealer in a manner reasonably designed to lead to a "broad unrestricted dissemination" as described in Rule 433(d)(1)(ii) of the Securities Act of 1933, is subject to the provisions of NASD Rules 2210 and 2211

On the road to recovery: “at-the-market” offerings in an improving but volatile market

Katten Muchin Rosenman LLP
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USA
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May 17 2010

While the capital markets have started to recover in the last few quarters, they remain volatile

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

SEC’s Chief Accountant testifies on developments in accounting and auditing standards

Katten Muchin Rosenman LLP
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USA
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May 28 2010

On May 21, the Securities and Exchange Commission’s Chief Accountant, James Kroeker, testified on behalf of the SEC before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises of the U.S. House Committee on Financial Services

SEC to propose whistleblower incentive rules

Katten Muchin Rosenman LLP
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USA
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October 29 2010

The Dodd-Frank Wall Street Reform and Consumer Protection Act added Section 21F to the Securities Exchange Act of 1934

SEC issues new interpretations on Form S-3 eligibility, incorporation of proxy statements in annual reports and foreign private issuer status

Katten Muchin Rosenman LLP
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USA
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August 13 2010

On August 11, the Securities and Exchange Commission's Division of Corporation Finance issued new Compliance and Disclosure Interpretations (C&DIs) on topics including the availability of Form S-3 for issuers filing shelf registration statements in reliance on General Instruction I

SEC chairman issues statement on GAAP-IFRS convergence project

Katten Muchin Rosenman LLP
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USA
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June 4 2010

On June 2, the Financial Accounting Standards Board (FASB) and the International Accounting Standards Board (IASB) announced modifications to their timetable for, and prioritization of, standards being developed by these boards in connection with improving U.S. generally accepted accounting principles (GAAP) and International Financial Reporting Standards (IFRS) and achieving convergence of GAAP and IFRS

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