US updates: Reg S-K, cap markets Treasury report and more

Author: IFLR Correspondent | Published: 30 Oct 2017
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US capital markets updates from Morrison & Foerster

Latest updates


Tax Talk: Volume 10, Issue 3
27 November 2017

The Short Field Guide to IPOs
November 2017

Previous updates


Structured Thoughts: News for the financial services community, Volume 8, Issue 8
15 November 2017

House Republicans Release Draft Tax Proposal; Committee Markup Begins
07 November 2017

CFTC Order Extends Application of Current De Minimis Threshold Until December 2019
02 November 2017

All In Order
November 2017

Treasury Department Urges Principles-Based Regulation of Money Managers; Delay of Implementation of Liquidity Risk Management and Fiduciary Rules
31 October 2017

The Treasury Report’s Recommendations for Derivatives Regulation
26 October 2017

FAST and Furious: Proposed Amendments to Regulation S-K Requirements
12 October 2017

FINRA Delays Required Collateralization of TBAs and Other MBS Forwards
11 October 2017

Practice Pointers – Choosing Standards: "Commercially Reasonable Efforts," "Best Efforts" and Similar Standards
11 October 2017

Treasury Report Proposes Substantial Revisions to Controversial Tax Regulations
11 October 2017

Treasury Report, Part II: Regulation of the Capital Markets
10 October 2017

Federal Reserve Board Issues Final Rules Imposing Restrictions on Qualified Financial Contracts of Global Systemically Important Banking Organizations
02 October 2017

The Fiduciary Rule Poll
October 2017

Trump Administration Officials and Congressional Leaders Release "Unified Framework" for Tax Reform
28 September 2017

Practice Pointers: Pre-funded Warrants
27 September 2017

SEC Issues Guidance on Pay Ratio Disclosure
26 September 2017

Structured Thoughts: News for the financial services community, Volume 8, Issue 7
26 September 2017

Form ADV Amendments: Ready to Go?
25 September 2017

The Rise of the ESAs: EU Proposals to Extend Direct Supervision of Financial Markets
25 September 2017

OCIE Provides Insight into Issues Identified in Recent Cybersecurity Sweep
15 August 2017

The Guide to Social Media and the Securities Laws
14 August 2017

Tax Talk: Volume 10, Issue 2
11 August 2017

Howey Got Here: SEC Issues Guidance on Token Offerings
26 July 2017

Structured Thoughts: News for the financial services community, Volume 8, Issue 6
12 July 2017

Evolution Not Revolution: The New EU Prospectus Regulation
06 July 2017

SEC Permits Draft Registration Statements for All Initial Public Offerings and Direct Listings
30 June 2017

House Passes Regulatory Reform That Would Loosen Restrictions on BDCs and Other Funds
30 June 2017

IRS Reissues Proposed Regulations for Centralized Partnership Audit Regime
20 June 2017

CFTC Adopts Amendments to its Recordkeeping Rules
16 June 2017

U.S. Treasury Department Report on Core Principles for Regulating the United States Financial System
13 June 2017

PCAOB Adoption of Enhanced Auditor’s Reporting Model
12 June 2017

Structured Thoughts: News for the financial services community, Volume 8, Issue 5
02 June 2017

Living with the DOL Fiduciary Rule: Be Prepared for the June 9 Implementation Date
23 May 2017

CFTC Proposes to Amend Chief Compliance Officer Duties and Annual Report Requirements
19 May 2017

Proposed EMIR II – Key Points for Derivatives Markets Participants
18 May 2017

Tax Talk: Volume 10, Issue 1
08 May 2017

FINRA Publishes New Guidance on Social Networking Websites and the Application of Rule 2210
01 May 2017

Structured Thoughts: News for the financial services community, Volume 8, Issue 4
01 May 2017

Trump Administration Releases One-Page Tax Plan
28 April 2017

A Trio of FINRA Notices Focused on Capital Formation Issues
17 April 2017

DOL Fiduciary Rule Delayed by 60 Days
05 April 2017

Structured Thoughts: News for the financial services community, Volume 8, Issue 3
04 April 2017

Is it Time to Streamline Financial Regulation?
16 March 2017

The SEC Issues a Request for Comment on Possible Changes to Industry Guide 3
07 March 2017

UK Regulations: Urgent Action Required from Loan-based Crowdfunding Platforms
06 March 2017

Inline XBRL Proposed Rule and IFRS Taxonomy
06 March 2017

The Federal Reserve and OCC Guidance Regarding Initial Examinations for Compliance with Variation Margin Rules for Non-Cleared Swaps and Security-Based Swaps
27 February 2017

Structured Thoughts: News for the financial services community, Volume 8, Issue 2
23 February 2017

Practice Pointers: Anticipating and Addressing SEC Comments on Non-GAAP Financial Measures
22 February 2017

EGC Corporate Governance Practices
13 February 2017

Tax Talk: Volume 9, Issue 4
10 February 2017

Tailoring More Stringent Prudential Standards Under Section 165 of Dodd-Frank: Fed Finalizes Stress Test Relief for Large and Noncomplex Firms
01 February 2017

Structured Thoughts: News for the financial services community, Volume 8, Issue 1
24 January 2017

DOL Issues Additional Guidance on Fiduciary Rule
23 January 2017

Uncertain Seas: European Financial & Regulatory Developments into 2017
13 January 2017

Structured Thoughts: News for the financial services community, Special Issue
27 December 2016

A Closer Look at the Final TLAC Rule’s Requirements for IHCs
22 December 2016

IRS Provides Guidance on TLAC
21 December 2016

TLAC’s Back! Sifting Through the Federal Reserve’s Final TLAC Rule
15 December 2016

Structured Thoughts: News for the financial services community, Volume 7, Issue 12
13 December 2016

Shaping MREL for European (and non-European) Banks
12 December 2016

SEC Staff Issues New C&DIs Related to Foreign Issuers
12 December 2016

IRS Guidance for Implementation of the Section 871(m) Regulations
06 December 2016

SEC Staff Recommendations to Amend Regulation S-K Pursuant to Section 72003 of the FAST Act
29 November 2016

New EU Banking Legislation Reforms
23 November 2016

SEC Staff Issues New Guidance on Debt Tender Offers
21 November 2016

Structured Thoughts: News for the financial services community, Volume 7, Issue 11
17 November 2016

The Short Field Guide to IPOs
14 November 2016

CFTC Issues Cross-Border Proposal
10 November 2016

Quick Guide to REIT IPOs
09 November 2016

DOL Issues First Guidance on Fiduciary Rule
31 October 2016

SEC Adopts Final Rules Regarding Intrastate and Regional Offerings
27 October 2016

A Financial Services Glossary: Making Sense of the Alphabet Soup
18 October 2016

EU Market Abuse Regulation - Market Soundings Safe Harbour: Compliance and Record Requirements
14 October 2016

EU Market Abuse Regulation - Requirements for U.S. Issuers
14 October 2016

Tax Talk: Volume 9, Issue 3
12 October 2016

Structured Thoughts: News for the financial services community, Volume 7, Issue 10
06 October 2016

The Fed Revisits CCAR and Proposes CCAR Relief for Large Noncomplex Firms
28 September 2016

Capital Acquisition Brokers: New Category of Broker-Dealers Provides Limited Relief for Some Investment Banking Boutiques
20 September 2016

The Financial Choice Act: Implications for the U.S. Securities Legal Framework
15 September 2016

Structured Thoughts: News for the financial services community, Volume 7, Issue 9
14 September 2016

Final Regulations Clarify the Definition of "Real Property" Under the REIT Rules
14 September 2016

H.R. 5983—Act as Introduced—Title I
12 September 2016

Federal Banking Agencies Issue Recommendations as Part of Their Section 620 Report to Solidify the Safety and Soundness of the U.S. Financial System
09 September 2016

CFTC Releases Its Final Staff Report on the Swap Dealer De Minimis Exception
07 September 2016

Direct-to-Consumer Equity Offerings: Are Loyal Customers Happy Shareholders?
06 September 2016

Are Your Customer Accounts in Order? SEC Announces Sweep of Broker-Dealers and Implementation of the Customer Protection Rule Initiative
26 August 2016

Practice Pointers on Non-GAAP Financial Measures
16 August 2016

Structured Thoughts: News for the financial services community, Volume 7, Issue 8
11 August 2016

MoFo Tax Talk - Volume 9, No. 2
05 August 2016

Acquired Fund Fee Expenses and Business Development Companies
04 August 2016

Section 12(d)(1) and Business Development Companies
04 August 2016

EBA Second Monitoring Report of AT1 Instruments
03 August 2016

Impact of DOL’s Final Rule on Business Development Companies
01 August 2016

SEC Approves Nasdaq Rule Requiring Public Disclosure of Payments to Directors by Third Parties
26 July 2016

Late-Stage Private Placements: A Life Sciences Sector Survey
25 July 2016

Structured Thoughts: News for the financial services community, Volume 7, Issue 7
05 July 2016

The Federal Reserve’s Proposed Rules for Financial Contracts of Global Systemically Important Banking Organizations and ISDA’s Resolution Stay Jurisdictional Modular Protocol
30 June 2016

Brexit: Some Initial Thoughts On Prospectus Requirements For Issuers Offering Financial Securities in the UK/EU
29 June 2016

SEC Proposes to Expand Smaller Reporting Company Eligibility
28 June 2016

Practice Pointers on Shelf Offerings by Business Development Companies
June 2016

SEC Proposes Rules to Update Disclosure Requirements for Mining Registrants
21 June 2016

CFTC Approves Supplemental Proposal on Position Limits to Permit Exchanges to Recognize Non-Enumerated Bona Fide Hedges
16 June 2016

Practice Pointers on Navigating the Securities Act’s Prohibition on General Solicitation and General Advertising
June 2016

Treasury Expands Scope of REIT Spin-Off Rules in New Regulations
15 June 2016

Setting the New Benchmark: EU Regulation on Financial Benchmarks
13 June 2016

CFTC Issues Final Rules Regarding the Cross-Border Application of its Uncleared Swaps Margin Requirements
07 June 2016

FINRA Proposes Initial Round of Amendments to Communications Rules
06 June 2016

SEC Completes JOBS Act Rulemaking with Amendments to Exchange Act Registration Rules
31 May 2016

A Lofty Concept: Disclosure Effectiveness
18 April 2016

Federal Reserve Proposes Revisions to Form FR Y-7Q to Incorporate Capital Adequacy Standard Reporting Requirements for Foreign Banking Organizations with More than $50 Billion in Total Consolidated Assets
11 April 2016

Half-Hearted Relief for Munis: The Fed Adopts a Final Rule to Include Certain Municipal Securities as HQLAs Under the LCR Rule
07 April 2016

Final Department of Labor Fiduciary Regulations Under ERISA
07 April 2016

Private Secondary Markets and Rule 15c2-11
05 April 2016

Float Like a Butterfly, Sting Like a Non-SIFI: Round One Goes to MetLife
04 April 2016

Structured Thoughts: News for the financial services community, Volume 7, Issue 4
31 March 2016

CFTC Finalizes Relief from Trade Option Reporting and Recordkeeping Requirements for Commercial End Users
22 March 2016

Tax Treatment of "Bad Boy Guarantees" Challenged by Recent IRS Memorandum
22 March 2016

Final European Standards for Derivatives Collateralisation
17 March 2016

Another Brick in the Wall: The Fed Reproposes Single-Counterparty Credit Limits for Large Banking Organizations
09 March 2016

Structured Thoughts: News for the financial services community, Volume 7, Issue 3
03 March 2016

SEC Adopts Rule Amendments Addressing Dealing Transactions Between Non-US persons that are 'Arranged, Negotiated or Executed' in the US
16 February 2016

FINRA Reminds Members of Obligations in Offerings Subject to a Contingency
12 February 2016

Structured Thoughts: News for the financial services community, Volume 7, Issue 2
10 February 2016

The Long Long Game: The EU Financial Regulatory Agenda Into 2016 and Beyond
04 February 2016

FINRA’s Final Equity Research Rules Go Effective; Final Debt Research Rules’ Effective Date Quickly Approaching
25 January 2016

CFTC Staff Issues No-Action Relief from Mandatory Swaps Clearing for Small Bank Holding Companies, Small Savings and Loan Holding Companies, and Community Development Financial Institutions
20 January 2016

SEC Adopts Interim Final Rules to Implement FAST Act Provisions
15 January 2016

Structured Thoughts: News for the financial services community, Volume 7, Issue 1
15 January 2016

CFTC Proposes Regulation of Automated Trading
13 January 2016

FINRA’s 2016 Priorities Letter: Objective and Subjective Issues
06 January 2016

FINRA’s 2016 Priorities Letter: objective and subjective issues
January 6 2016
Lloyd Harmetz

BRRD – the UK’s approach to MREL
January 6 2016

CFTC adopts uncleared swaps margin rules
December 23 2015

Extenders Bill puts an end to tax-free REIT spinoffs but includes a number of favourable changes to the taxation of REITs
December 23 2015

 


 

 

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