- In The News
- Regulatory Developments
- Analysis by the Experts
- Library
- Events
- RSS Feeds
- Newsletter Archive
- Newsletter Sign-up
regulatory developments
Primary source compliance materials from governmental and regulatory agencies.
- Bankruptcy & Insolvency
- Corporate Governance & Directors' Duties
- Corporate Law
- Financial Reporting, Taxation, & Accounting
- Fund Accounting
- Fund Operations & Management
- Global Markets
- Initial Public Offerings
- Investment Banking & Broker/Dealers
- Investment Management Compliance & Regulation
- Investment Management Marketing
- Mergers & Acquisitions
- Private Equity & Venture Capital
- Sarbanes-Oxley
- Securities Enforcement & Fraud
- Securities Offerings
- Securities Regulation & Disclosure
SEC Extends Emergency Order to Enhance Investor Protections against Naked Short Selling
Washington, D.C., Oct. 1, 2008 - The Securities and Exchange Commission announced that each of the emergency orders issued on Sept. 17 and Sept. 18, 2008, will be extended to allow time for completion of work on the anticipated passage of legislation.
10/2/2008
Technical Amendment To Item 407 of Regulation S-K
Effective September 30, 2008, The Securities and Exchange Commission ("Commission") is making a technical amendment to Item 407 of Regulation S-K.
10/1/2008
Fee Rate Advisory #2 for Fiscal Year 2009
Washington, D.C., Sept. 29, 2008 - When fiscal year 2009 starts on Oct. 1, 2008, the Securities and Exchange Commission expects to be operating under a continuing resolution that will extend through March 6, 2009. During this period, fees paid under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g) and 31 of the Securities Exchange Act of 1934 will remain at their current rates.
9/30/2008
SEC Releases Guidance Regarding the Emergency Order Concerning Disclosure of Short Selling
Washington, D.C., September 25, 2008 - The Division of Corporation Finance, Division of Investment Management, and Division of Trading and Markets has released an FAQ regarding the Commission's Emergency Order concerning disclosure of short selling.
9/25/2008
SEC Halts Short Selling of Financial Stocks to Protect Investors and Markets
Commission Also Takes Steps to Increase Market Transparency and Liquidity
Washington, D.C., Sept. 19, 2008 - The Securities and Exchange Commission, acting in concert with the U.K. Financial Services Authority, today took temporary emergency action to prohibit short selling in financial companies to protect the integrity and quality of the securities market and strengthen investor confidence. The U.K. FSA took similar action yesterday.
9/19/2008
SEC Issues New Rules to Protect Investors Against Naked Short Selling Abuses
Washington, D.C., Sept. 17, 2008 - The Securities and Exchange Commission took several coordinated actions to strengthen investor protections against "naked" short selling. The Commission's actions will apply to the securities of all public companies, including all companies in the financial sector. The actions are effective at 12:01 a.m. ET on Thursday, Sept. 18, 2008.
9/18/2008
Statement Regarding Recent Market Events and Lehman Brothers
Washington, D.C., Sept. 15, 2008 - The decision by Lehman Brothers Holdings Inc. to file for protection under Chapter 11 of the bankruptcy laws is expected to lead to the winding down of Lehman Brothers Inc., its U.S. regulated broker-dealer, outside of bankruptcy. The accounts of Lehman's U.S. retail securities customers are with the broker-dealer. In cases such as this, Lehman Brothers' customers will benefit from their extensive protections under SEC rules, including segregation of customer securities and cash as well as insurance by the Securities Investor Protection Corporation. These safeguards are designed to ensure that a broker-dealer's customers will be protected.
9/15/2008
SEC Votes to Modernize Disclosure Requirements to Help U.S. Investors in Foreign Companies
Washington, D.C., Aug. 27, 2008 - The Securities and Exchange Commission today voted unanimously to update and modernize the disclosure requirements for foreign companies offering securities in U.S. markets, making it easier for U.S. investors to gain access to timely financial information that can help them make better informed investment decisions.
8/27/2008
SEC unveils IDEA as the successor to EDGAR
Washington, D.C., Aug. 19, 2008 - Securities and Exchange Commission Chairman Christopher Cox today unveiled the successor to the agency's 1980s-era EDGAR database, which will give investors far faster and easier access to key financial information about public companies and mutual funds.
8/19/2008
SEC Announces Proposed Plan to Enhance Insider Trading Surveillance and Detection
Washington, D.C., Aug. 13, 2008 - The Securities and Exchange Commission announced that it has published for public comment an agreement among the SROs that is designed to improve detection of insider trading across the equities markets by centralizing surveillance, investigation, and enforcement under NYSE Regulation and FINRA.
8/14/2008
