SEC Examining Over 50 U.S., U.K. Firms over Management of CDOs, Other Structured Products

The Securities and Exchange Commission currently is conducting an examination sweep of more than 50 registrants…

Divided SEC Agrees to Issue Guidance Regarding Climate Change Disclosures

In its first meaningful action on an environmental topic in more than 25 years, the Securities and Exchange Commission…

SEC Adopts New Rules to Beef Up Framework for Money Market Mutual Funds

The Securities and Exchange Commission Jan. 27 voted 4-1 to adopt new rules to strengthen the regulatory framework for the…

ANALYSIS: The SEC’s Improved Proxy Disclosure Rules: What’s New and How Can Companies Comply?

As expected, the U.S. Securities and Exchange Commission (SEC) voted on Dec. 16, 2009, to adopt revisions to the proxy disclosure rules. The revisions adopted were largely…

2010 OUTLOOK — FUTURES LEGISLATION: Senate to Take Over Action on Derivatives Reform, but Timing Unclear

The financial crisis that came to a head for consumers and investors in fall 2008 will continue to cast a shadow over lawmakers and regulators in 2010 as the Senate takes…

2010 OUTLOOK — SEC REGULATION: Thorny Issues on Regulatory Agenda Could Make for Long Year

This year promises to be a challenging one for the Securities and Exchange Commission, as it prepares to tackle several controversial rule proposals, including those addressing short sales and…

2010 OUTLOOK — SECURITIES LEGISLATION: Congress Sure to Pass Reform Bill, but Goal of Transparency May Remain Elusive

The new year promises to bring the most substantial overhaul of securities legislation since the Great Depression, but looming mid-term elections and indications of a revival of a pre-crisis appetite for…

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