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Financial services update, vol. 8, number 19

Winston & Strawn LLP
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USA
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May 13 2013

In 2012, Congress enacted the Stop Trading on Congressional Knowledge Act (or the "STOCK Act"), in an effort to ban insider trading by members of

Corp Fin considers new disclosure requirement

Winston & Strawn LLP
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USA
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November 12 2012

On November 8th, CFO Journal reported the Division of Corporation Finance may recommend that the SEC propose rules requiring issuers to disclose their political spending and lobbying activities

Municipal adviser definition

Winston & Strawn LLP
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USA
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October 8 2012

On October 1st, Reuters quoted SEC Commissioner Elisse Walter as saying that the Commission should have a definition of municipal adviser in less than a year

SEC report on the municipal securities market

Winston & Strawn LLP
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USA
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August 7 2012

On July 31st, the SEC issued its report on the municipal securities market

Congressional insider trading bill passes

Winston & Strawn LLP
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USA
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March 26 2012

On March 22nd, the Senate approved the House version of the Stop Trading on Congressional Knowledge Act, S.2038, which prohibits lawmakers, their staff, and certain members of the Executive Branch from trading on the confidential information they obtain through their work

Accounting support fee approved

Winston & Strawn LLP
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USA
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March 5 2012

On February 23rd, the SEC approved the Financial Industry Regulatory Authority's proposed Governmental Accounting Standards Board accounting support fee

Senate passes ethics bill

Winston & Strawn LLP
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USA
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February 6 2012

On February 2nd, the Washington Post reported that the Senate has overwhelmingly passed an ethics bill that not only prohibits insider trading by legislators and their staff, but also prohibits insider trading by senior officials in the executive branch

Justice Department production of documents does not create a SEC FOIA waiver

Winston & Strawn LLP
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USA
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December 12 2011

On December 9th, the D.C. Circuit upheld the SEC's assertion of exemption 5 to a Freedom of Information Act ("FOIA") request submitted by Williams & Connolly

Municipal securities underwriters

Winston & Strawn LLP
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USA
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September 12 2011

On September 6th, the SEC provided notice of the Municipal Securities Rulemaking Board's proposed interpretive notice concerning the application of MSRB Rule G-17 on conduct of municipal securities and municipal advisory activities, to underwriters of municipal securities

Municipal advisors

Winston & Strawn LLP
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USA
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September 12 2011

The SEC has recently provided notice of the Municipal Securities Rulemaking Board's filing of several proposed rules and amendments affecting municipal advisors