Legal Updates

• Practices: Securities

57 matches.

• ESG at the SEC… Leading or Lagging?
  ESG Business Insights
  November 1, 2023
• SEC Changes the Game for Private Fund Advisers – Summarizing the New "Restricted Activities Rule" and the "Preferential Treatment Rule"
  Hinshaw Alert
  October 19, 2023
• FINRA Rule Change Making Expungement More Difficult Goes into Effect on October 16, 2023
  Hinshaw Alert
  September 7, 2023
• SEC Approves FINRA Rule Changes That Make Expungement of Customer Complaints More Difficult
  Hinshaw Alert
  June 2, 2023
• FINRA Releases Annual Report Addressing Areas of Examination Focus for 2021
  Hinshaw Alert
  February 18, 2021
• New Proposed SEC Rule Would Allow Finders to Receive Commissions Without Registering as a Broker Dealer
  Hinshaw Alert
  November 3, 2020
• SEC Updates Definition of Accredited Investor to Facilitate More Participation in Private Offerings
  Hinshaw Alert
  September 24, 2020
• SEC Proposes Rule Changes Relating to Exempt Offerings Which Would Include Increases to Offering Limits
  Hinshaw Alert
  March 10, 2020
• Capital Simplification for Community Banking Organizations
  Hinshaw Alert
  October 29, 2019
• Federal Reserve Revises its Small Bank Holding Company Policy Statement by Increasing the Asset Limit to $3 Billion
  Hinshaw Alert
  September 6, 2018
• Securities Rules for Private Equity Financings
  Hinshaw Publication
  July 12, 2017
• SEC Adopts JOBS Act Crowdfunding Rules
  Corporate / Financial Institutions Alert
  November 18, 2015
• Federal Reserve Revises Small Bank Holding Company Policy Statement by Increasing Asset Limit and Including Savings & Loan
  Corporate / Financial Institutions Alert
  April 15, 2015
• SEC Adopts Rules to Increase Access to Capital for Smaller Companies
  Corporate / Financial Institutions Alert
  March 30, 2015
• SEC Adopts Rules to Facilitate Smaller Companies' Access to Capital
  Corporate / Financial Institutions Alert
  March 26, 2015
• Accumulated Other Comprehensive Income (AOCI) Opt-Out Election
  Corporate / Financial Institutions Alert
  March 25, 2015
• Fed proposes rules to increase the asset limit under the Small Bank Holding Company Policy from $500 million to $1 billion
  Corporate / Financial Institutions Alert
  February 3, 2015
• U.S. Supreme Court Confirms Truth In Lending Act Rescission Notice Requirements
  Corporate / Financial Institutions Alert
  January 21, 2015
• AOCI Opt-Out Election Must be Made on Call Report or FR Y-9C (if applicable) for the Quarter Ending March 31, 2015
  Corporate / Financial Institutions Alert
  January 20, 2015
• FDIC Clarifies Bank Brokered Deposit Expectations and Requirements
  Corporate / Financial Institutions Alert
  January 15, 2015
• Good News for Community Banks — Legislation Enacted Which Doubles Threshold for Small Bank Holding Company Policy Statement
  Corporate / Financial Institutions Alert
  December 19, 2014
• Federal Banking Agencies Adopt an Addendum to Policy Statement on Income Tax Allocation Agreements
  Corporate / Financial Institutions Alert
  July 1, 2014
• SEC Proposes Rules to Increase Access to Capital for Smaller Companies
  Corporate / Financial Institutions Alert
  January 31, 2014
• Federal Banking Agencies Proposed An Addendum to Policy Statement on Income Tax Allocation Agreements
  Corporate / Financial Institutions Alert
  January 15, 2014
• SEC Proposes Crowdfunding Rules Under JOBS Act
  Corporate / Financial Institutions Alert
  December 11, 2013
• SEC Adopts Rules Eliminating the Prohibition Against General Solicitation in Certain Private Offerings and Disqualifying Bad Actors From Certain Offerings and Proposes New Reg D Requirements
  Corporate / Financial Institutions Alert
  July 17, 2013
• Fed Adopts New Capital Rules
  Corporate / Financial Institutions Alert
  July 8, 2013
• Illinois Supreme Court Adopts Rules Relating to the Home Foreclosure Process
  Corporate / Financial Institutions Alert
  March 5, 2013
• CFPB Adopts Mortgage Servicing Rules
  Corporate / Financial Institutions Alert
  February 11, 2013
• Consumer Financial Protection Bureau Adopts Loan Originator Compensation and Qualification Rules
  Corporate / Financial Institutions Alert
  February 4, 2013
• SEC Approves NYSE and Nasdaq Rules on Independence of Compensation Committee Members and Advisers
  Corporate / Financial Institutions Alert
  January 31, 2013
• Consumer Financial Protection Bureau Adopts Ability to Repay and Qualified Mortgage Rules
  Corporate / Financial Institutions Alert
  January 24, 2013
• SEC Proposes to Eliminate the Prohibition Against General Solicitation and Advertising in Certain Private Offerings
  Corporate / Financial Institutions Alert
  September 20, 2012
• Listing Standards for Compensation Committees
  Corporate / Financial Institutions Alert
  July 19, 2012
• FRB, FDIC and OCC Issue Proposals Revising Bank Regulatory Capital Requirements and the Risk-Weighted Asset Rules
  Corporate / Financial Institutions Alert
  July 5, 2012
• JOBS Act—SEC Guidance on Scaled Disclosure and Other EGC Issues
  Corporate / Financial Institutions Alert
  May 23, 2012
• JOBS Act – SEC Guidance on Scaled Disclosure and Other Emerging Growth Company Issues
  Corporate / Financial Institutions Alert
  May 3, 2012
• Central District of Illinois Bankruptcy Rulings Present New Challenges to Perfection of Security Interests
  Corporate / Financial Institutions Alert
  April 24, 2012
• U.S. District Court Issues Precedent-Setting Chapter 15 Bankruptcy Holding
  Corporate / Financial Institutions Alert
  April 19, 2012
• Jumpstart Our Business Startups Act (JOBS Act) — Confidential Submission Process for Emerging Growth Companies
  Corporate / Financial Institutions Alert
  April 18, 2012
• JOBS Act - Changes in Registration Thresholds
  Corporate / Financial Institutions Alert
  April 17, 2012
• Congress Passes JOBS Act in Effort to Make Raising Capital Easier
  Corporate / Financial Institutions Alert
  April 5, 2012
• SEC Exempts Restricted Stock Units From Exchange Act Registration
  Corporate / Financial Institutions Alert
  February 28, 2012
• SEC Approves NYSE and Nasdaq Rules on Independence of Compensation Committee Members and Advisers
  Corporate / Financial Institutions Alert
  January 31, 2012
• SEC Revises Net Worth Standard for Accredited Investors
  Corporate / Financial Institutions Alert
  December 29, 2011
• Congress (Hopefully) Moving to Make Raising Capital Easier
  Corporate / Financial Institutions Alert
  December 28, 2011
• SEC, Nasdaq and NYSE Toughen Oversight of Reverse Mergers
  Corporate / Financial Institutions Alert
  November 21, 2011
• SEC, Nasdaq and NYSE Increasing Oversight of Reverse Mergers
  Corporate / Financial Institutions Alert
  October 18, 2011
• SEC Proxy Access Proposals Are Effective
  Corporate / Financial Institutions Alert
  September 30, 2011
• FDIC Rules Designed to Claw Back Executive Compensation in Receivership Situations
  Corporate / Financial Institutions Alert
  July 26, 2011
• Small Business Lending Fund (SBLF) Terms for Subchapter S Corporations and Mutuals
  Corporate / Financial Institutions Alert
  May 23, 2011
• FDIC Proposes Rules to Clawback Executive Compensation
  Corporate / Financial Institutions Alert
  March 28, 2011
• Proposed Rules on Incentive-Based Compensation Arrangements
  Corporate / Financial Institutions Alert
  February 15, 2011
• Small Business Lending Fund Terms and Application Process
  Corporate / Financial Institutions Alert
  January 5, 2011
• Government Cracking Down on Agreements Between Competitors Not to Solicit Each Other's Employees
  Hinshaw Alert
  January 4, 2011
• Changes in Temporary FDIC Insurance Coverage for Transaction Accounts
  Corporate / Financial Institutions Alert
  November 24, 2010
• SEC Issues Guidance Regarding Disclosures Related to Climate Change
  Corporate / Financial Institutions Alert
  February 17, 2010