Reynolds Holding

MAY 13, 2024

Again, this is not a critique of a higher equity capital, rather a call for reform of regulation and supervision, a critical topic concerning the governance of the Federal Reserve System. Where the Federal Reserve System seems to have limited accountability, disclosure helps protect the public.

Banking 64

Banking Equity Marketability Finance 64

Reynolds Holding

NOVEMBER 16, 2023

The realities of fragmentation are evident in the increasing competition between the major federal regulators claiming jurisdiction over digital asset markets: the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC).

Marketability 59

Marketability Market Capitalization Finance Technology 59

Reynolds Holding

MAY 18, 2022

I’m honored to appear before you for the second time as Chair of the Securities and Exchange Commission. It is good to be here alongside Federal Trade Commission Chair Khan. Amongst them, in 1933 and 1934, Congress and FDR came together to craft the first two federal securities laws. Maintaining the Gold Standard.

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Marketability Finance Corporate Finance Technology 59

Reynolds Holding

APRIL 18, 2024

As is customary, my remarks this afternoon are in my official capacity as SEC Enforcement Director, and do not necessarily reflect the views of the Commission, the Commissioners, or other members of the staff. history, and it’s principal architect was recently sentenced to 25 years in federal prison. [1] 2] In re: FTX Trading Ltd , No.

Compliance 45

Compliance Technology Start-ups Marketability 45

Reynolds Holding

MAY 15, 2022

Securities and Exchange Commission (“SEC”) provided guidance to companies of their disclosure obligations with respect to the direct or indirect impact that Russia’s invasion of Ukraine and the international response have had or may have on their business (the “Guidance”). [1] The Guidance.

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Compliance Treasury Finance Corporate Finance 45

Cooley M&A

JANUARY 23, 2024

Reverse mergers remain a fixture 2023 opened the door for reverse merger transactions to underperforming small and midsized public life sciences companies that were trading below their initial public offering price and, often, below the value of their cash on hand. billion.

Marketability 52

Marketability Equity Private Equity Firm Finance 52

Brian DeChesare

FEBRUARY 16, 2022

Also, there are still misconceptions about the financial modeling in the group, the hours, the exit opportunities, and other topics, so this updated article will address all of those: Definitions: What is Public Finance Investment Banking? only when advising publicly-traded, for-profit corporations. Summary of West St. The Greeks?

Finance 65

Finance Banking Equity Marketability 65

Reynolds Holding

JANUARY 22, 2024

Alan’s legacy and work at the Commission staff still resonates on the securities industry and market participants today. During his tenure, the Commission adopted a very significant and impactful regulation — rule 146 under the Securities Act of 1933 (the “Securities Act”). [1] 1] If rule 146 does not ring a bell, do not worry.

Start-ups 45

Start-ups Marketability Price to Earnings Finance 45

Reynolds Holding

MAY 11, 2022

When I first appeared before this group, as Chair of the Commodity Futures Trading Commission (CFTC), Washington was still developing the regulatory response to the 2008 financial crisis. Department of the Treasury at the time, sent along with the Federal Reserve to examine the impending failure of this firm.

Marketability 45

Marketability Banking Compliance Treasury 45

Reynolds Holding

MAY 18, 2023

This topic is so essential for the safety and resiliency of our capital markets. [1] In the face of rapid technological change and increased cyber threats at home and abroad, the Commission is taking action to require that market participants strengthen their cybersecurity practices. Good morning. Thank you, Bob [Zukis].

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Marketability Technology Compliance Equity 45

Reynolds Holding

DECEMBER 20, 2022

1] holds that the federal securities laws basically do not apply extraterritorially, but they have never quite understood Morrison ’s reasoning or standard. 8] In the case of the federal securities laws, the facts of Morrison show that the mere sending of mail by the defendant National Australia Bank into the U.S. Nat’l Austl.

Banking 111

Banking Marketability 111

IVSC

OCTOBER 21, 2023

That has since flipped and particularly with AI now poking its head into all manner of services and trades, our minds are challenged to keep pace with data availability, computing speed, and the skills to master these ever-evolving tools. The importance of continuing education has never been so critical to keep pace.

Appraisal 246

Appraisal Marketability Technology Start-ups 246

Reynolds Holding

AUGUST 21, 2022

Today [August 11], the Federal Trade Commission initiated a proceeding to examine whether we should implement new rules addressing data practices that are unfair or deceptive. The Commission brought its first internet privacy case 24 years ago against GeoCities, one of the most popular websites at the time.1

Marketability 53

Marketability Technology Compliance 53

Benzinga

APRIL 28, 2023

Asset Quality On January 1, 2023, Mid Penn adopted ASU 2016-13, Financial Instruments - Credit Losses (ASC Topic 326): Measurement of Credit Losses on Financial Instruments , which replaces the incurred loss methodology, and is referred to as CECL. for the trading day ending December 19, 2022). 31, 2023 Dec. 31, 2022 Sep.

Dividends 40

Dividends Banking Book Value Equity 40

Reynolds Holding

FEBRUARY 1, 2023

Director Levenson was the consummate public servant who left an enduring mark on the Division of Corporation Finance, and the Commission more generally. Where we are today is a long way from where we began, when the federal securities laws first established true public markets with certain limited registration exceptions.

Marketability 58

Marketability Corporate Finance Compliance Equity 58

Reynolds Holding

MAY 1, 2024

As directed by the EO, on February 28, the DOJ published an Advance Notice of Proposed Rulemaking (“ANPRM”) on topics related to the implementation of the EO. The Ropes & Gray team provided detailed analysis on both the EO and ANPRM here. For rule violations, the FTC can seek up to $50,120 in civil penalties per violation.

Compliance 45

Compliance Treasury 45

Reynolds Holding

OCTOBER 5, 2022

This mid-year update provides an overview of the major developments in federal and state securities litigation in the first half of 2022: I. Filing And Settlement Trends. Summary of Trend Cases—Core Federal Filings 2018 – June 2022. . We have already seen many notable developments in securities law this year. Cochran , No.

Start-ups 72

Start-ups Marketability Equity Compliance 72

Reynolds Holding

JANUARY 25, 2023

The SEC will also continue to work in parallel with its fellow federal agencies, law enforcement authorities, international regulators, and self-regulatory organizations. Investor education and outreach must continue to focus on diverse and underserved communities as well as on emerging and popular investment topics.

Technology 59

Technology Marketability Data Analysis Equity 59

Reynolds Holding

MARCH 27, 2023

We also provide an update on the status of mandatory federal forum provisions in the Ninth and Seventh Circuits and in the State of California. We examine developments in federal securities litigation involving special purpose acquisition companies.

Technology 59

Technology Start-ups Compliance Finance 59

Audit Board

AUGUST 31, 2023

Securities and Exchange Commission (SEC) with an EU subsidiary meeting the thresholds, for example, would soon need to comply with both US and EU climate disclosure requirements (and possibly others). Reporting Requirement Authority: United States Securities and Exchange Commission (SEC). A US-based company registered with the U.S.

Compliance 52

Compliance Start-ups Technology Banking 52

Reynolds Holding

MAY 23, 2022

Between these expressions of antitrust policy’s infiltration beyond academia, the Spring Meeting provided agency status updates, platforms to debate the Merger Guidelines, and opportunities to address the most pressing topics in antitrust law today. divestiture of a standalone, viable business.

Banking 56

Banking Marketability Technology 56

Reynolds Holding

SEPTEMBER 6, 2022

In March 2022, the Securities and Exchange Commission (SEC) proposed a rule that would require publicly traded companies to provide investors with various climate-related disclosures (the Proposal). [1] The Proposal requires publicly traded companies to disclose climate-related information relevant to their business operations.

Marketability 59

Marketability Compliance Technology 59

Reynolds Holding

JULY 27, 2022

1] As I suspect many of you know – and as the spring regulatory agenda demonstrates [2] – there is a significant list of current issues and trends in Investment Management under consideration at the Securities and Exchange Commission right now. Let’s begin with a broad array of topics on our regulatory map.

Banking 45

Banking Marketability Finance Corporate Finance 45

Reynolds Holding

MAY 25, 2022

In this article, we begin with the Securities and Exchange Commission (“SEC”) regulations that mandate risk disclosures, and the federal statutes that create civil liability for misleading statements. The SEC’s Division of Corporate Finance first issued Guidance Topic No. The Pandemic Guidance. 9 on March 25, 2020.

Compliance 53

Compliance Start-ups Marketability Corporate Finance 53

Reynolds Holding

AUGUST 9, 2023

The Capital Proposal would apply to any banking organization with $100 billion or more in assets, as well as others with significant trading activity, and would significantly increase the capital requirements for most institutions. 2 Comments on both proposals are due by November 30, 2023.

Banking 52

Banking Market Risk Marketability Finance 52

Reynolds Holding

JUNE 26, 2022

4356, their Responsible Financial Innovation Act, to transfer most regulation of cryptoproducts to the Commodity Futures Trading Commission (CFTC}, essentially ousting the SEC, presumably perceived to be a more aggressive regulator, from oversight of cryptoproducts that were securities. On June 10, 2022, U.S.

Banking 72

Banking Compliance Technology Treasury 72

Value Scope

SEPTEMBER 24, 2020

At the time, more than $17 billion had been invested into sustainable-focused exchange-traded funds (ETFs) and open-end funds during 2019. SASB 3 seeks to replicate what FASB does by creating a set of clear disclosure standards broken out by environmental, social, and governance topics, and by industry. What does this really mean?

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Intangible Assets Alpha Beta Marketability 130

Reynolds Holding

FEBRUARY 9, 2023

In this article, we examine the key ESG topics impacting businesses in the second half of 2022, which included the green energy transition, the performance of ESG funds, the role of ESG matters in disputes and the ongoing development of the ESG legislative and regulatory landscape in the U.K., and Europe. government’s Net Zero Strategy.

Finance 49

Finance Marketability Start-ups Equity 49

Reynolds Holding

JANUARY 21, 2024

In 2023, leadership of the Federal Trade Commission and the Antitrust Division of the Department of Justice maintained an aggressive approach to merger enforcement, investigating and challenging transactions on the basis of a broad range of theories of harm articulated in the agencies’ newly issued 2023 Merger Guidelines.

Marketability 45

Marketability Technology Equity 45

Reynolds Holding

MARCH 7, 2023

Senate subcommittee hearing on antitrust enforcement, Federal Trade Commission (“FTC”) Chair Lina Khan and Assistant Attorney General Jonathan Kanter of the Department of Justice’s Antitrust Division (the “DOJ”) both confirmed that there is no ESG exception to the antitrust laws. A month later, during a U.S.

Banking 89

Banking Marketability Accounting Firms Compliance 89