Securities

Recent Posts

Cadwalader Clients & Friends Memo: SEC Seeks Public Comment On Treatment of Asset-Backed Issuers under the Investment Company Act
Posted on 14 Sep 2011 by Cadwalader, Wickersham & Taft LLP

The Securities and Exchange Commission (the "SEC") recently issued an advance notice of proposed rulemaking (the "ANPR") requesting public comment on the treatment of asset-backed issuers under Rule 3a-7 under the Investment Company... Read More

Morrison Foerster-One Down, One to Go: The SEC Completes the First Required Dodd-Frank Act Regulation D Rulemaking
Posted on 19 Jan 2012 by Morrison and Foerster LLP

The Securities and Exchange Commission (the "SEC") recently completed the first of two Regulation D rulemakings mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the "Dodd-Frank Act"). The Dodd-Frank... Read More

The SEC’s Frequently Asked Questions Regarding the Broker-Dealer Registration Exemption
Posted on 8 Apr 2013 by Arina Shulga

The legal world is patiently waiting for the Securities and Exchange Commission (the "SEC") to enact rules implementing Title II of the JOBS Act. One of the recent developments in this field is the issuance by the SEC Staff of frequently... Read More

The SEC’S New Approach to Economic Analysis in Rule Writing
Posted on 19 Apr 2012 by Thomas O. Gorman

Economic analysis in rule making has become a critical issue for the SEC. The D.C. Circuit has rejected two Commission rules in recent years, expressing concern about the level of analysis. The Office of the Inspector General issued a report earlier... Read More

The SEC’s Busy Rule-Making Agenda for Implementation of Dodd-Frank
Posted on 22 Sep 2010 by Doug Cornelius

In many instances, the Dodd-Frank Wall Street Reform and Consumer Protection Act merely set a framework for financial reform and left much of the heavy lifting to the financial regulatory agencies. The SEC published their agenda for the implementation... Read More