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 | California Enacts Emergency Legislation to Address Pay-to-Play and Public Pension Funds
Keith Bishop, Matthew J. Ertman; Allen Matkins Leck Gamble Mallory & Natsis LLP; November 6, 2009, previously published on October 22, 2009 Recent news stories have featured allegations of "pay-to-play" arrangements at public employee pension funds. A pay-to-play arrangement involves directing some benefit to a pension fund official in order to obtain fund business. A direct bribe is the most obvious form of pay-to-play. ... |
| Private Fund Investment Advisers Registration Act of 2009 Passes House Committee Vote
November 6, 2009, previously published on October 28, 2009 On October 27, the U.S. House of Representatives Committee on Financial Services approved the Private Fund Investment Advisers Registration Act of 2009 (to be reported as H.R. 3818) by a bipartisan vote of 67 to 1 (Rep. Ron Paul (R-TX) opposing). Although the passing of the bill brings the... |
| Regulation of Member Private Offerings
Keith Bishop, James (Kimo) E. McCormick; Allen Matkins Leck Gamble Mallory & Natsis LLP; November 6, 2009, previously published on October 29, 2009 The Financial Industry Regulatory Authority ("FINRA") adopted new Rule 5122 to require FINRA member firms, and associated persons that engage in certain private placements of its own securities or the securities of a control entity, to comply with certain disclosure and filing... |
 | "What Exactly Is Arbitration?"
Ryan P. Smith; The Law Office of Ryan P. Smith, PLC; November 6, 2009, previously published by on Fall 2009 One of the items Congress is reviewing as it considers reforming financial regulation is the mandatory use of arbitration to resolve investors' disputes with financial advisors and brokerage firms. Of course, this can raise important concerns for investors: What exactly is arbitration? What rights... |
| The SEC Takes another Pass at Shareholder Access
Justin Ettelson, Katayun I. Jaffari; Saul Ewing LLP; November 5, 2009, previously published on November 2009 As reported in July, the Securities and Exchange Commission voted May 20 to release a shareholder proxy access proposal. Amid an intense lobbying effort against the proposal by major business interests and the dissenting views of Commissioners Troy Paredes and Kathleen Casey, the SEC has decided to... |
| Falling Shareholder Vote Participation Spurs SEC to Propose Changes to Proxy Rules
Ira Rosner; Greenberg Traurig, P.A.; November 5, 2009, previously published on October 2009 On October 14, 2009, the Securities and Exchange Commission (SEC) posted proposed changes to its proxy rules in response to lower shareholder voting rates when public companies use the "Notice and Access" model for their proxy materials. |
| Proposed Legislation Would Require Risk Retention, Increased Disclosure in Offerings of Asset-Backed Securities
Edward E. Gainor; Bingham McCutchen LLP; November 5, 2009, previously published on October 30, 2009 Draft legislation released this week by the U.S. House Committee on Financial Services would, among other things, amend the Securities Act of 1933 (the "Securities Act") and the Securities Exchange Act of 1934 (the "Exchange Act") to impose new regulations on securitization... |
| Additional Extension of Compliance Date of Auditor Attestation Requirement for Non-Accelerated Filers
James F. Brashear, Bruce Newsome; Haynes and Boone, LLP; November 5, 2009, previously published on November 02, 2009 On October 2, 2009, the U.S. Securities and Exchange Commission (the "SEC") extended by six months the compliance date for non-accelerated filers to provide in their annual reports on Form 10-K an auditor attestation report on internal control over financial reporting. Previously, those... |
| SEC Delays Until 2010 Proposed Amendments Facilitating Shareholder Nominations of Directors
James F. Brashear, Bruce Newsome; Haynes and Boone, LLP; November 5, 2009, previously published on October 30, 2009 The U.S. Securities and Exchange Commission (the "SEC") recently said that it will delay until 2010 its vote on amendments, proposed earlier this year, to facilitate shareholders' rights to nominate directors. As a result, it is unlikely any of the proposed amendments will apply during... |
| SEC Staff Revise Policy for Excluding Shareholder Proposals: Climate Change Proposals Likely to Increase
Jane Whitt Sellers, Karl M. Strait, Meredith Sanderlin Thrower; McGuireWoods LLP; November 5, 2009, previously published on October 29, 2009 On Oct. 27, 2009, the SEC's Division of Corporation Finance issued Staff Legal Bulletin No .14E (CF) that addresses three topics related to shareholder proposals under Rule 14a-8. |
