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Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE Recent SEC Speeches Focus on Investor Protection and Disclosure Members of the Securities and Exchange Commission have recently given several [...]

Edited by Robert L. Kohl and David A. Pentlow BROKER DEALER FINRA Proposes Rule Change that Would Require Reporting OTC Equity Transactions Within 10 Seconds The Financial Industry Regulatory Authority [...]

Edited by Robert L. Kohl and David A. Pentlow BROKER DEALER CBOE Proposes to Amend Preferred Market Maker's Continuous Quoting Obligations On January 18, the Chicago Board Options Exchange (CBOE) [...]

Edited by Robert L. Kohl and David A. Pentlow SEC Approves NYSE and NASDAQ New Compensation Committee and Adviser Listing Standards On January 11, the Securities and Exchange Commission approved [...]

Edited by Robert L. Kohl and David A. Pentlow CFTC CFTC Issues No-Action Letters The Commodity Futures Trading Commission (CFTC) released a series of staff letters relating to various issues [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE SEC Issues Additional Guidance on Emerging Growth Companies On September 28, the Division of Corporation Finance of the Securities and [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE SEC Abandons Money-Market Fund Reform On August 22, Securities and Exchange Commission Chairman Mary Shapiro stated that three of the [...]

Edited by Robert L. Kohl and David A. Pentlow CFTC Futures Exchanges Propose Rules Requiring Consent to Jurisdiction The Chicago Mercantile Exchange (CME), Chicago Board of Trade (CBOT), New York [...]

Edited by Robert L. Kohl and David A. Pentlow BROKER DEALER FINRA and ISG Postpone Effective Dates for Enhanced Electronic Blue Sheet Submission Pursuant to Regulatory Notice 12-36, the Financial [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE Bipartisan Bill Introduced in U.S. Senate to Authorize SEC to Impose Larger Penalties On July 23, Senators Charles Grassley (R-IA) [...]

Edited by Robert L. Kohl and David A. Pentlow DERIVATIVES Banking Regulators Propose Basel III Capital Rules On June 7, the Federal Reserve Board, the Office of the Comptroller of [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE NYSE's Modified Listing Standards For EGCs; Advisory Committee Proposes Change to NYSE Proxy Distribution Fees The Jumpstart Our Business Startups [...]

Edited by Robert L. Kohl and David A. Pentlow BROKER DEALER SEC Reopens Comment Period for Proposed Amendments to Broker-Dealer Financial Responsibility and Related Rules On March 9, 2007, the [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE SEC Issues Additional Guidance on Emerging Growth Companies On May 2, the Division of Corporation Finance of the Securities and [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE Please see 'SEC and CFTC Propose Rules on Identity Theft Detection and Prevention' in CFTC below. BROKER DEALER FINRA Best [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE SEC Issues New C&DI on Description of Say-on-Pay Advisory Vote on Proxy Card and Voting Instruction Form On February 13, [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE NYSE Restricts Broker Discretionary Voting On January 25, the New York Stock Exchange (NYSE) issued Information Memo 12-4, which announced [...]

Edited by Robert L. Kohl and David A. Pentlow BROKER DEALER SEC Requests Comments on FINRA's Amendments to Proposed New Rule Regarding Communications with the Public The Securities and Exchange [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE SEC Announces Roundtable on Microcap Securities On September 19, the Securities and Exchange Commission announced that it will host a [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE ISS Survey on Current Governmental and Compensation Policy Issues In a report released on September 26, Institutional Shareholder Services Inc. [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE SEC Will Not Appeal Proxy Access Decision; Rule 14a-8 Amendment To Become Effective Mary Schapiro, Chairman of the Securities and [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE NYSE Proposes Tougher Listing Standards for Issuers Following Reverse Mergers On August 4, the New York Stock Exchange LLC filed [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE SEC Adopts Rules Removing Credit Ratings as Short-Form Eligibility Criteria On July 26, the Securities and Exchange Commission adopted final [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE PCAOB Proposes to Change Form and Content of Audit Reports On June 21, the Public Company Accounting Oversight Board (PCAOB) [...]

Edited by Robert L. Kohl and David A. Pentlow BROKER DEALER SEC Seeks Public Comment on Proposed Amendments to Broker-Dealer Financial Reporting Rule 17a-5 On June 15, the Securities and [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE SEC Proposes Rules for Disqualification of Felons and Other 'Bad Actors' from Rule 506 Offerings On May 25, the Securities [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE SEC Chairman Shapiro Remarks on Capital-Raising Reform In testimony before the U.S. House of Representatives Committee on Oversight and Government [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE SEC Extends Comment Period for Compensation Committee and Compensation Advisor Requirements On March 30, the Securities and Exchange Commission approved [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE NASDAQ Proposes Tougher Listing Standards for Issuers Following Reverse Mergers On April 18, the NASDAQ Stock Market LLC filed a [...]

Edited by Robert L. Kohl and David A. Pentlow BROKER DEALER SEC Announces Filing of Proposed Limit Up-Limit Down Requirements On April 5, the Securities and Exchange Commission announced that [...]

Edited by Robert L. Kohl and David A. Pentlow BROKER DEALER SEC Approves FINRA Rules Governing Guarantees, Carrying Agreements, Security Counts and Supervision of General Ledger Accounts The Securities and [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE SEC Schedules Open Meeting to Propose Rules on Financial Institution Incentive Compensation and Credit Ratings On March 2, the Securities [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE SEC Extends Comment Period for Proposed Rules Regarding Conflict Minerals Disclosure On January 28, the Securities and Exchange Commission extended [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE SEC Schedules Open Meeting to Discuss Say-on-Pay Proposed Rules and Changes to Accredited Investor Definition On January 25, the Securities [...]

Edited by Robert L. Kohl SEC/CORPORATE SEC Issues Proposed Rules Regarding Conflict Minerals Disclosure On December 15, the Securities and Exchange Commission issued proposed rules implementing disclosure and reporting requirements [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE ISS Publishes Updated Policies for Proxy Voting Recommendations On November 19, Institutional Shareholder Services (ISS) published updated policies for determining [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE SEC Issues Proposed Rules for Whistleblower Program under Dodd-Frank Act On November 3, the Securities and Exchange Commission issued proposed [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE SEC to Propose Whistleblower Incentive Rules The Dodd-Frank Wall Street Reform and Consumer Protection Act added Section 21F to the [...]

Edited by Robert L. Kohl and David A. Pentlow BROKER DEALER SEC Approves Amendments to FICC's Government Securities Division Rules Relating to Close Out Netting On October 5, the Securities [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE SEC Stays Implementation of Shareholder Proxy Access Rules On September 29, the Business Roundtable and the U.S. Chamber of Commerce [...]

Edited by Robert L. Kohl and David A. Pentlow SEC/CORPORATE SEC Outlines Planned Rulemaking Schedule to Implement Provisions of the Dodd-Frank Act The Securities and Exchange Commission has announced its [...]

Edited by Robert L. Kohl and David A. Pentlow BROKER DEALER SEC Launches Muni FA Registration System On September 9, the Securities and Exchange Commission announced that it has adopted [...]

Article by Robert L. Kohl and David A. Pentlow SEC/CORPORATE SEC to Consider Proxy Access Rules Next Week On August 18, the Securities and Exchange Commission provided notice that at [...]

Article by Robert L. Kohl and David A. Pentlow SEC/CORPORATE SEC Issues New Interpretations on Form S-3 Eligibility, Incorporation of Proxy Statements in Annual Reports and Foreign Private Issuer Status [...]

Article by Robert L. Kohl and David A. Pentlow BROKER DEALER FINRA Reminds Firms of Upcoming Changes to BrokerCheck The Financial Industry Regulatory Authority has issued an information notice reminding [...]

Article by Robert L. Kohl and David A. Pentlow SEC/CORPORATE SEC Issues a New 'Accredited Investor' CDI On July 23, the Securities and Exchange Commission's Division of Corporation Finance issued [...]

Article by Robert L. Kohl and David A. Pentlow SEC/CORPORATE Dodd-Frank Reform Bill May Put a Damper on Private Placements Two little-noted provisions of the Dodd-Frank Wall Street Reform and [...]