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• Select Business and the SEC: lessons in coexistence

  1

  Business and the SEC: lessons in coexistence

  From:Financial Executive (Vol. 7, Issue 2) Peer-Reviewed

  March-April 19914,584 words Discussion Six executives participated in a panel discussion about accounting issues and the SEC. The participants included SEC Div of Corporation Finance Dir Linda C. Quinn, former SEC Chief Accountant Edmund Coulson, and...
• Select Regulation FD: From an investment management perspective

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  Regulation FD: From an investment management perspective

  Authors:Amy W. Pershkow, Matthew A. Rossi, Leslie S. Cruz, Peter M. McCamman, Andrew D. Getsinger, and Shauna C. GunerFrom:The Investment Lawyer (Vol. 23, Issue 12)

  Dec. 201610,815 words Article 2230LA. Regulation FD Adoption Almost 16 years ago, the Securities and Exchange Commission (SEC or the Commission) adopted Regulation FD (Fair Disclosure) (Regulation FD or the Regulation) because it was concerned about a...
• Select Current Developments at the SEC.

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  Current Developments at the SEC.

  From:The CPA Journal (Vol. 92, Issue 5-6) Peer-Reviewed

  May-June 20222,737 words Conference overview 1540LLindsay McCord, Chief Accountant at the SEC's Division of Corporation Finance, said that the panel would begin with an overview of each individual's respective division or office, followed by a discussion of trends in...
• Select A flexible capital raise: shelf registration statements for closed-end funds

  4

  A flexible capital raise: shelf registration statements for closed-end funds

  Authors:Sander M. Bieber and Lisa R. PriceFrom:The Investment Lawyer (Vol. 21, Issue 3)

  Mar. 20146,874 words Article 1940LOne option a closed-end fund can use to raise capital is a shelf registration statement. A shelf registration statement enables a closed-end fund to flexibly offer additional shares to the public from time to time, as...
• Select Life Insurance Industry's 'SEC Wish List' for Trump's Tilt with the 'Nanny State' of Excessive Regulation

  5

  Life Insurance Industry's 'SEC Wish List' for Trump's Tilt with the 'Nanny State' of Excessive Regulation

  Author:Gary O. CohenFrom:The Investment Lawyer (Vol. 25, Issue 2)

  Feb. 20184,675 words Article 1760LPresident Donald J. Trump's administration has ordered review and reform of federal agency regulations. In that process, the president has ordered agencies to listen to industry voices, including trade associations....
• Select Developments in cybersecurity law governing the investment industry

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  Developments in cybersecurity law governing the investment industry

  Authors:Luke T. Cadigan and Sean P. MahoneyFrom:The Investment Lawyer (Vol. 21, Issue 8)

  Aug. 20143,885 words Article 1880LRegulatory focus on cybersecurity is intensifying. Unlike other compliance matters, the deterrent effect of enforcement actions following data security breaches may be insufficient to achieve regulators' purpose of...
• Select IV. Improving confidence in financial markets

  7

  IV. Improving confidence in financial markets

  From:OECD Economic Surveys - United States (Vol. 2004, Issue 7)

  May 20048,213 words Article In recent years, financial-market confidence has been harmed by a number of influences such as the bursting of the stock-market bubble and geopolitical uncertainties. But corporate governance and accounting scandals...
• Select A template for a public credit rating agency

  8

  A template for a public credit rating agency

  Author:Susan SchroederFrom:Journal of Economic Issues (Vol. 47, Issue 2) Peer-Reviewed

  June 20133,251 words Article 1380LIn the wake of the global financial crisis (GFC), there have been calls for changes in the credit ratings industry. The American and European responses were new regulation and supervision of the rating agencies'...
• Select Mutual fund distribution trends, the SEC sweep exam and the Backdrop of Rule 12b-1

  9

  Mutual fund distribution trends, the SEC sweep exam and the Backdrop of Rule 12b-1

  Authors:Martin E. Lybecker and Gwendolyn A. WilliamsonFrom:The Investment Lawyer (Vol. 20, Issue 8)

  Aug. 20134,811 words Article 1980LThe traditional mutual fund distribution model has undergone significant change over the past decade, and the Securities and Exchange Commission (the SEC) recently launched a targeted sweep examination of how mutual...
• Select International Stem Cell Corp. Files SEC Form 424B4, Prospectus [Rule 424(B)(4)] (Jul. 19, 2013)

  10

  International Stem Cell Corp. Files SEC Form 424B4, Prospectus [Rule 424(B)(4)] (Jul. 19, 2013)

  From:Stem Cell Week

  Aug. 5, 2013159 words Brief article 910LBy a News Reporter-Staff News Editor at Stem Cell Week -- According to news reporting originating from Washington, D.C., by NewsRx journalists, a U.S. Securities and Exchange Commission (SEC) filing by International...
• Select International Stem Cell Corp. Files SEC Form DEF 14A, Other Definitive Proxy Statements (Mar. 25, 2014)

  11

  International Stem Cell Corp. Files SEC Form DEF 14A, Other Definitive Proxy Statements (Mar. 25, 2014)

  From:Stem Cell Week

  Apr. 7, 2014169 words Brief article 980LBy a News Reporter-Staff News Editor at Stem Cell Week -- According to news reporting originating from Washington, D.C., by NewsRx journalists, a U.S. Securities and Exchange Commission (SEC) filing by International...
• Select International Stem Cell Corp. Files SEC Form 10-K, Annual Report [Section 13 And 15(D), Not S-K Item 405] (Mar. 17, 2014)

  12

  International Stem Cell Corp. Files SEC Form 10-K, Annual Report [Section 13 And 15(D), Not S-K Item 405] (Mar. 17, 2014)

  From:Stem Cell Week

  Mar. 31, 2014191 words Brief article 920LBy a News Reporter-Staff News Editor at Stem Cell Week -- According to news reporting originating from Washington, D.C., by NewsRx journalists, a U.S. Securities and Exchange Commission (SEC) filing by International...
• Select Reducing the burden of disclosure for public biotech companies

  13

  Reducing the burden of disclosure for public biotech companies

  Authors:Robert Evans, III and Mark KesselFrom:Nature Biotechnology (Vol. 32, Issue 5) Peer-Reviewed

  May 20141,743 words Letter to the editor 1780LTo the Editor: Much has been written about rocketing biotech stock prices and the opening of public markets to biotech companies over the past 18 months. But access to public funding brings with it substantial costs...
• Select Tristar Wellness Solutions, Inc. Files SEC Form 4, Statement of Changes in Beneficial Ownership of Securities (Mar. 16, 2015)

  14

  Tristar Wellness Solutions, Inc. Files SEC Form 4, Statement of Changes in Beneficial Ownership of Securities (Mar. 16, 2015)

  From:Obesity, Fitness & Wellness Week

  Apr. 4, 2015236 words Brief article 1100LBy a News Reporter-Staff News Editor at Obesity, Fitness & Wellness Week -- According to news reporting originating from Washington, D.C., by NewsRx journalists, a U.S. Securities and Exchange Commission (SEC) filing by...
• Select Exec comp redux

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  Exec comp redux

  Author:Robert H. RockFrom:Directors & Boards (Vol. 39, Issue 3)

  Summer 2015502 words Article 1340L'Heart-stopping, pants-dropping, eye-popping, jaw-dropping, hair-raising, eyes-glazing, mind-blowing, juices-flowing." Paraphrasing Bruce Springsteen's introduction of his E Street Band at its Rock and Roll Hall of Fame...
• Select Tristar Wellness Solutions, Inc. Files SEC Form 8-K, Current Report (Jul. 8, 2015)

  16

  Tristar Wellness Solutions, Inc. Files SEC Form 8-K, Current Report (Jul. 8, 2015)

  From:Obesity, Fitness & Wellness Week

  July 25, 2015210 words Brief article 1020L2015 JUL 25 (NewsRx) -- By a News Reporter-Staff News Editor at Obesity, Fitness & Wellness Week -- According to news reporting originating from Washington, D.C., by NewsRx journalists, a U.S. Securities and Exchange...
• Select Still spry at 75: reflections on the Investment Company Act and the Investment Advisers Act

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  Still spry at 75: reflections on the Investment Company Act and the Investment Advisers Act

  Authors:Jay G. Baris and Andrew J. DonohueFrom:The Investment Lawyer (Vol. 22, Issue 7)

  July 20155,977 words Article 1720LThis year we celebrate the 75th anniversary of the enactment of two of the crowning legislative achievements of the last century: the Investment Company Act of 1940 (Investment Company Act) (1) and the Investment...
• Select Comparability: still up in the air?

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  Comparability: still up in the air?

  Author:Marie LeoneFrom:CFO, The Magazine for Senior Financial Executives (Vol. 27, Issue 7)

  Sept. 2011403 words Article 1530LNEW YORK CERTIFIED PUBLIC ACCOUNTANTS claim there are "critical unresolved differences" between U.S. generally accepted accounting principles (GAAP) and international financial reporting standards (IFRS), and the...
• Select SEC update: Sutherland Asbill & Brennan LLP Washington, DC

  19

  SEC update: Sutherland Asbill & Brennan LLP Washington, DC

  Authors:Steven Boehm and Sylvia HarrisFrom:The Investment Lawyer (Vol. 18, Issue 3)

  Mar. 20111,629 words Article 1740LKeeping it in the Family: Dodd-Frank Exempts Family Offices from the Advisers Act Family offices are entities established by wealthy families to manage their wealth, plan for their families' financial future, and...
• Select SEC update Stradley Ronon Stevens & Young, LLP Washington, DC

  20

  SEC update Stradley Ronon Stevens & Young, LLP Washington, DC

  Author:Peter M. HongFrom:The Investment Lawyer (Vol. 17, Issue 10)

  Oct. 20102,051 words Article 1750LSEC Proposes New Disclosure Requirements for Target Date Funds On June 16, 2010, the Securities and Exchange Commission (SEC) proposed amendments to Rule 482 under the Securities Act of 1933 (Securities Act) and Rule...