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22 Jan 2024, 9:01 pm by renholding
You are probably well acquainted with its successor, rule 506.[2] Prior to the adoption of former rule 146 in April 1974, the Commission did not have rules interpreting section 4(2) of the Securities Act.[3] As a result, issuers faced uncertainty in determining whether a sale of securities did not involve “any public offering” and in applying case law on the topic, including the Supreme Court’s decision in SEC v. [read post]
16 Nov 2023, 9:01 pm by renholding
FSOC stated that in addition to being inconsistent with the statutory standard set forth in Section 113 of the Dodd-Frank Act, FSOC making this assessment “could trigger a run on the company. [read post]
13 Nov 2023, 9:05 pm by renholding
”[19]The Interpretive Guidance states that the Council expects to “continue addressing most risks through its collaboration with primary financial regulators” and will base any nonbank financial company designation on “data-driven analysis that reflects the distinctive aspects of the company, its market, and its existing regulation. [read post]
27 Oct 2023, 6:00 am by Michelle
The proposed changes to Regulation II under the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act would also change the amounts that bank card issuers subject to the rule can charge to cover fraud costs and to counter fraud losses. [read post]
9 Oct 2023, 6:32 am
On August 25, 2023, two SEC compliance and disclosure interpretations (“C&DI”) were issued related to these quarterly disclosures.[1] C&DI 133A.01 states that Item 408(a)(1) of Regulation S-K does not require disclosure of termination of a plan that ends due to expiration or completion of the plan in accordance with its terms, without any action by an individual. [read post]
9 Oct 2023, 6:32 am
On August 25, 2023, two SEC compliance and disclosure interpretations (“C&DI”) were issued related to these quarterly disclosures.[1] C&DI 133A.01 states that Item 408(a)(1) of Regulation S-K does not require disclosure of termination of a plan that ends due to expiration or completion of the plan in accordance with its terms, without any action by an individual. [read post]
4 Oct 2023, 12:46 pm by Brett Natarelli
On October 3, the second morning of its new term, the Supreme Court of the United States (SCOTUS) heard oral arguments in the case of Consumer Financial Protection Bureau v. [read post]
28 Sep 2023, 9:02 pm by Josephine A. Phillips
The Office emphasized that this change is needed in light of the landmark Obergefell v. [read post]
28 Jul 2023, 7:34 am by Zak Gowen
Most banks in the country do not service cannabis companies as marijuana remains illegal at the federal level despite several states legalizing its medicinal and recreational use. . . . [read post]
14 Jul 2023, 6:30 am
Kay, Mike Kesner, and Ed Sim, Pay Governance LLC, on Wednesday, July 12, 2023 Tags: Disclosure, Dodd-Frank Act, Executive Compensation, Pay for performance, SEC enforcement, TSR The Developing Litigation Risks from the ESG Backlash in the United States Posted by Rick S. [read post]
14 Jul 2023, 6:30 am
Kay, Mike Kesner, and Ed Sim, Pay Governance LLC, on Wednesday, July 12, 2023 Tags: Disclosure, Dodd-Frank Act, Executive Compensation, Pay for performance, SEC enforcement, TSR The Developing Litigation Risks from the ESG Backlash in the United States Posted by Rick S. [read post]
28 Jun 2023, 5:49 pm by Keith Szeliga and Emily Theriault
DCAA’s Organization DCAA’s organizational structure consists of a Headquarters, four Corporate Audit Directorates (CADs) organized by major contractors, three geographical regions (Eastern, Central and Western) for other contractors, and a Field Detachment that focuses on classified work.[14] Overall, DCAA has approximately 230 offices located throughout the United States, Europe, and the Middle East.[15] DCAA’s Headquarters is located at Fort Belvoir, Virginia.[16]… [read post]