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Mary Jo White, nominee for Chair of the SEC, appears before Senate Banking Committee

Katten Muchin Rosenman LLP
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USA
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March 15 2013

On March 12, Mary Jo White, President Obama's nominee to chair the Securities and Exchange Commission, appeared at her confirmation hearing before

SEC roundtable discusses decimalization and tick sizes

Katten Muchin Rosenman LLP
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USA
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February 8 2013

On February 5, the Securities and Exchange Commission hosted a roundtable discussion regarding the impact that decimal-based pricing increments (i.e

Petitioners file opening brief challenging SEC’s conflict minerals rule

Katten Muchin Rosenman LLP
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USA
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February 8 2013

The National Association of Manufacturers, the Chamber of Commerce of the United States of America and Business Roundtable recently filed their

CII submits Rule 10b5-1 rulemaking petition to the SEC

Katten Muchin Rosenman LLP
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USA
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January 4 2013

On November 28 the Council of Institutional Investors (CII), an association of public, corporate and union pension funds and other employee benefit plans

SEC staff publishes new guidance on shareholder proposals

Katten Muchin Rosenman LLP
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USA
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October 26 2012

On October 16 the Securities and Exchange Commission’s Division of Corporation Finance issued Staff Legal Bulletin No. 14G (SLB 14G) providing guidance with respect to three issues in connection with shareholder proxy proposals that arose during the 2012 proxy season

SEC establishes risk management and operations standards for registered clearing agencies

Katten Muchin Rosenman LLP
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USA
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October 26 2012

The Securities and Exchange Commission adopted new rule 17Ad-22 under the Securities Exchange Act of 1934 (the Exchange Act) that establishes minimum requirements regarding how registered clearing agencies that provide central counterparty services (Clearing Agencies) must maintain effective risk management procedures and controls as well as meet the statutory requirements under the Exchange Act on an ongoing basis

SEC implements secure e-mail system for confidential submissions

Katten Muchin Rosenman LLP
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USA
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May 18 2012

Effective May 14, the Division of Corporation Finance of the Securities and Exchange Commission has implemented a secure e-mail system that allows it to receive confidential submissions from “emerging growth companies” (EGCs) under the Jumpstart Our Business Startups Act (JOBS Act), as well as from certain foreign private issuers under the Division of Corporation Finance’s pre-existing policy that permits such issuers to submit draft registration statements to the SEC for non-public review

SEC limits availability of review for non-public submissions by foreign private issuers

Katten Muchin Rosenman LLP
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USA
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December 16 2011

On December 8, the staff of the Securities and Exchange Commission’s Division of Corporation Finance announced that it will limit the circumstances in which it will review initial registrations statements of foreign private issuers that are submitted to the staff on a non-public basis

SEC staff to release filing review correspondence earlier

Katten Muchin Rosenman LLP
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USA
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December 16 2011

On December 1, the staff of the Securities and Exchange Commission announced that, “to further enhance the transparency of the filing review process,” effective January 1, 2012, it will release (through the EDGAR system) comment letters and response letters relating to filings reviewed by the Divisions of Corporation Finance and Investment Management no earlier than 20 business days following completion of a filing review

SEC announces creation of Advisory Committee on Small and Emerging Companies

Katten Muchin Rosenman LLP
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USA
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September 16 2011

On September 13, the Securities and Exchange Commission announced the formation of an Advisory Committee on Small and Emerging Companies

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