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Sort by:  | SEC Chairman Mary Schapiro Steps Down
Raechelle M. Munna; Jones, Walker, Waechter, Poitevent, Carrère & Denègre L.L.P.;
Legal Alert/Article December 3, 2012, previously published on November 29, 2012 Mary Schapiro will step down as the Securities and Exchange Commission ("SEC") Chairman effective December 14, 2012. Schapiro became chairman in 2009 in the midst of the financial crisis. A report from the federally-mandated Financial Crisis Inquiry Commission stated that regulators had...
| | SEC Approves FINRA Rule Regarding Private Placements
Raechelle M. Munna; Jones, Walker, Waechter, Poitevent, Carrère & Denègre L.L.P.;
Legal Alert/Article September 19, 2012, previously published on September 13, 2012 On June 7, 2012, the Securities and Exchange Commission ("SEC") granted accelerated approval of FINRA Rule 5123, which imposes requirements on members and associated persons in connection with certain private placements. The rule enhances FINRA’s regulatory oversight of...
| | Moody’s Cuts Ratings of 15 Major Investment Banks
Raechelle M. Munna; Jones Walker LLP;
Legal Alert/Article July 5, 2012, previously published on June 28, 2012 On June 21, 2012, Moody’s Investors Service downgraded 15 major international banks and securities firms, 5 of which were some of the biggest U.S. banks.
| | SEC Increases Private Equity Industry Scrutiny
Raechelle M. Munna; Jones, Walker, Waechter, Poitevent, Carrère & Denègre L.L.P.;
Legal Alert/Article April 16, 2012, previously published on April 12, 2012 In years past, the private equity industry has escaped much of the regulatory scrutiny that has been directed toward hedge funds and Wall Street banks, but the climate appears to be changing. Private equity firms have generally received minimal attention from lawmakers, in part because private...
| | Supreme Court Rejects Appeal in FINRA Immunity Case
Raechelle M. Munna; Jones, Walker, Waechter, Poitevent, Carrère & Denègre L.L.P.;
Legal Alert/Article January 26, 2012, previously published on January 26, 2012 The United States Supreme Court declined to hear an appeal of a lawsuit filed in 2007 by a broker-dealer against the National Association of Securities Dealers (“NASD”). The firm, Standard Investment Chartered, Inc. (“Standard”), sued NASD over its merger with the regulatory...
|  | SEC Proxy Access Rule Vacated
Monique A. Cenac, Raechelle M. Munna; Jones, Walker, Waechter, Poitevent, Carrère & Denègre L.L.P.;
Legal Alert/Article July 28, 2011, previously published on July 2011 On July 22, 2011, the U.S. Court of Appeals for the D.C. Circuit, in a 3-0 opinion, vacated Rule 14a-11, the proxy access rule adopted by the U.S. Securities and Exchange Commission (“SEC”) in August 2010. The rule would have required public companies to permit any shareholder or group...
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