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Charles A. Sweet Document Search Results (11) Show: results per page Sort by:  | JOBS Act: Congress Attempts to Reduce Regulatory Burdens on IPOs and Private Offerings
Laurie A. Cerveny, Robert G. Leonard, Michael P. O'Brien, Charles A. Sweet, Carl A. Valenstein; Bingham McCutchen LLP;
Legal Alert/Article April 2, 2012, previously published on April 2, 2012 Congress has passed and President Obama is expected to sign the Jumpstart Our Business Startups Act, a five-pronged attempt to reduce regulatory burdens on securities offerings and thus facilitate capital formation and job creation, especially by “emerging growth companies.” Although...
| | SEC Proposes Rule Regarding Prohibition against Conflicts Of Interest in Certain Securitizations
Edmond Seferi, Charles A. Sweet, Robert C. Wipperman; Bingham McCutchen LLP;
Legal Alert/Article October 3, 2011, previously published on September 30, 2011 The Securities and Exchange Commission (the “SEC”) has proposed a new rule (the “Proposing Release”) under the Securities Act of 1933, as amended (the “Securities Act”), prohibiting material conflicts of interest in asset-backed securitizations, as required by...
| | SEC Will Permit “Proxy Access” Shareholder Proposals
Laurie A. Cerveny, Chris Cox, Janice A. Liu, Michael P. O'Brien, David K. Robbins, Charles A. Sweet; Bingham McCutchen LLP;
Legal Alert/Article September 27, 2011, previously published on September 23, 2011 An amendment to SEC Rule 14a-8 that will enable shareholders of U.S. public companies (including investment companies) to submit proposals calling for some form of “proxy access” — that is, a procedure permitting shareholders to include alternative nominees for director in the...
| | SEC Issues Advance Notice of Proposed Rulemaking on Treatment of Asset-Backed Issuers Under Rule 3a-7 and Section 3(c)(5) of the Investment Company Act
Charles A. Sweet, Robert C. Wipperman; Bingham McCutchen LLP;
Legal Alert/Article September 21, 2011, previously published on September 7, 2011 The U.S. Securities and Exchange Commission (the "Commission") has issued an advance notice of proposed rulemaking (the "ANPR") regarding the treatment of asset-backed issuers under the Investment Company Act of 1940, as amended (the "Investment Company Act"). The ANPR...
| | SEC Seeks Comments on Review of Existing Regulations
W. Hardy Callcott, Laurie A. Cerveny, Chris Cox, Roger P. Joseph, Michael P. O'Brien, Neal E. Sullivan, Charles A. Sweet; Bingham McCutchen LLP;
Legal Alert/Article September 20, 2011, previously published on September 12, 2011 On Sept. 6, 2011, the SEC issued a "request for information" about its process for reviewing existing regulations to determine if those regulations continue to be useful and effective. While one may question the SEC's ability, in the midst of so much new Dodd-Frank rule making, to conduct...
| | SEC Issues Concept Release Regarding Mortgage REITs and Section 3(c)(5)(C) of the Investment Company Act
Barry N. Hurwitz, Kenneth G. Lore, Charles A. Sweet, Robert C. Wipperman; Bingham McCutchen LLP;
Legal Alert/Article September 20, 2011, previously published on September 9, 2011 The U.S. Securities and Exchange Commission (the "Commission") has issued a concept release (the "Concept Release") regarding the status under Section 3(c)(5)(C) of the Investment Company Act of 1940, as amended (the "Investment Company Act"), of companies engaged in...
| | SEC Approves Issuance of Releases Relating to Use of Derivatives by Investment Companies Regulated Under the Investment Company Act, Treatment of Asset-Backed Issuers Under the Investment Company Act, and Status Under the Investment Company Act of Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related Instruments
Paul B. Raymond, Charles A. Sweet; Bingham McCutchen LLP;
Legal Alert/Article September 2, 2011, previously published on August 31, 2011 At an Open Meeting held on August 31, 2011, the U.S. Securities and Exchange Commission unanimously approved the issuance of three releases seeking public comment on certain issues arising under the Investment Company Act of 1940, as amended. The first is a concept release relating to the use of...
| | SEC Adopts Final Rules Subjecting Most ABS Issuers to Indefinite Exchange Act Reporting Obligations
Charles A. Sweet; Bingham McCutchen LLP;
Legal Alert/Article August 22, 2011, previously published on August 22, 2011 The Securities and Exchange Commission (the “Commission”) has adopted final rules (the “Adopting Release”) that will require most issuers of asset-backed securities (“ABS”) to continue to file periodic reports under Section 15(d) of the Securities Exchange Act of...
| | SEC Re-Proposes Shelf Eligibility Conditions and Filing Requirements for Transaction Documents in Offerings of Asset-Backed Securities, Requests Additional Comment on Asset-Level Data and Other Matters
Charles A. Sweet; Bingham McCutchen LLP;
Legal Alert/Article August 2, 2011, previously published on August 1, 2011 In April 2010, the U.S. Securities and Exchange Commission (the “Commission”) proposed (the “April 2010 Proposals”) an extensive set of new rules and forms and amendments to existing rules that would effect substantial changes to the offering process, disclosure and...
| | D.C. Circuit Voids SEC “Proxy Access” Rule
Laurie A. Cerveny, Christopher Cox, Barry N. Hurwitz, Michael P. O'Brien, David K. Robbins, Charles A. Sweet; Bingham McCutchen LLP;
Legal Alert/Article July 26, 2011, previously published on July 22, 2011 In a strongly worded opinion, a three-judge panel of the D.C. Circuit has unanimously voided the SEC’s Proxy Access Rule, which would have permitted shareholders who owned in the aggregate 3% of the voting power of a U.S. public company (including investment companies) for at least three...
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