Securities

Wolters Kluwer Law & Business Launches RBsourceFilings

Expanded, integrated content streamlines securities research and filings, helping firms get results faster and with greater confidence (September 9, 2014) Wolters Kluwer Law & Business, a leading global provider of intelligent information for business and legal professionals, today announced the launch of RBsourceFilings, an add on to  its highly successful RBsource product. RBsourceFilings takes RBsource to […]

New Volcker Rule “QuickCharts” Tool Released as Final Rules Go Into Effect April 1st

NEW YORK – April 1, 2014 – Wolters Kluwer Law & Business, a leading global provider of intelligent information and digital solutions for legal and business professionals, today announced the release of Volcker Rule QuickCharts — a workflow tool that allows practitioners to quickly review any topic related to the Volcker Rule and see a […]

Wolters Kluwer Adds New Mobile Feature to Legal News Dailies

Wolters Kluwer Adds New Mobile Feature to Legal News Dailies “Who’s In the News” is Daily Index of Law Firms and Companies Involved in Breaking News NEW YORK – January 29, 2013 – Wolters Kluwer Law & Business, the leading global provider of intelligent solutions for legal and business professionals, today announced they have added a […]

Wolters Kluwer Law & Business Delivers Breaking News and Expert Analysis for the Legal Professional – Online and Via Mobile Apps

Daily Reporting Suite Specialty Topics include: Antitrust, Securities Regulation, Health Law, Employment Law & Intellectual Property NEW YORK – December 3, 2012 – Wolters Kluwer Law & Business, the leading global provider of intelligent solutions and expertise for legal and business professionals, today announced the release of the Wolters Kluwer Daily Reporting Suite, the Company’s […]

SEC Approves PCAOB’s Interim Inspection Program for Audits of Broker-Dealers

(The article featured below is a selection from PCAOB Reporter, which is available to subscribers of that publication.) The SEC has approved the PCAOB’s temporary rule for an interim inspection program for the audits of brokers and dealers (Rel. Nos. 34-65163, PCAOB-2011-01, August 18, 2011). The interim program will allow the Board to begin inspections […]

Bank Must Discuss Whether Foreign Currency Trading is Proprietary Trading under Volcker Rule

(The article featured below is a selection from SEC Filings Insight, which is available to subscribers of that publication.) Northern Trust Corp. Date: 5/10/11; 6/3/11; 6/13/11 SIC No.: 6022 Subject Filing: 10-K State: DE Accession No. (Staff Letter): 0000000000-11-028990; 0000000000-11-036266 Accession No. (Co. Letter): 0001193125-11-158428 In what may be the first published SEC staff comments […]

SEC Will Not Ask for DC Circuit Rehearing of Proxy Access Ruling or Appeal it to Supreme Court

(The article featured below is a selection from Corporate Governance Guide Update, which is available to subscribers of that publication.) The SEC will not ask for a rehearing of a DC Circuit panel opinion vacating the proxy access rule, Rule 14a-11, nor will the Commission appeal the ruling to the U.S. Supreme Court. In an […]

Hanson Talks About PCAOB Actions That May Affect Compliance Officers

PCAOB member Jay Hanson talked about advances in technology and the aftermath of the financial crisis in remarks at a May 23, 2011 Compliance Week conference. He said that changes in technology and business models have made it very difficult to understand today’s transactions and products. Valuing those products is hard for both issuers and […]

SEC Adopts Whistleblower Program Rules, Proposes Reg. D “Bad Actor” Disqualification

In a 3-to-2 vote, the Commission yesterday adopted rules and forms to implement the whistleblower program under which it will pay eligible individuals for providing evidence of securities law violations that leads to a successful enforcement action. SEC Chair Mary Schapiro noted that the staff had to address a number of tough policy issues in […]

SEC Officials Discuss General Solicitation Ban and 500-Shareholder Limit at Hearing on Capital Formation

Chair Mary Schapiro, in testimony before the House Oversight and Government Reform Committee, advised that the Commission is committed to seeing if the 500-shareholder limit which triggers an issuer’s periodic filing obligation still makes sense. The SEC intends to do a thorough and rigorous analysis of the threshold, which she said will require the gathering […]