In this MB microtalk video, Mayer Brown’s Jen Carlson discusses practical considerations for companies implementing the SEC’s new climate-change disclosure rules, such as conducting gap analyses, reviewing disclosure controls and ICFR considerations.

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In this MB Microtalk video, discussing the SEC’s final climate-change disclosure rules, Mayer Brown’s Matt Bisanz provides an overview of the changes made by the final rules to Regulation S-X, which require a company to include certain climate-related financial statement metrics and related disclosures in a note to its audited financial statements.

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Mayer Brown welcomes Dale Baker, Vice President, Trust Policy from the American Bankers Association to our upcoming panel discussion on the FDIC’s Governance Proposal.

Webinar, March 15, 2024

12:00 p.m. ET – 1:00 p.m. ET
Register here.

On October 11, 2023, the Federal Deposit Insurance Corporation (FDIC) issued a far-reaching proposal for new corporate

Certain Principal Trading Firms, Private Funds, Investment Advisers and Other Market Participants May Become Subject to Registration

On February 5, 2024, the U.S. Securities and Exchange Commission (“SEC”) adopted new rules – SEC Rules 3a5-4 and 3a44-2 (collectively, the “Final Rules”) – to further define the phrase “as part of a regular business” used in

April 11, 2024 Webinar
11:30am – 12:30pm ET
Register here.

Although Form 13F filing requirements have been in existence for decades, the SEC and its staff have recently turned up the heat on compliance in this area, and 13F filers also must prepare for new Form N-PX filing obligations. Join Mayer Brown panelists, Jennifer

The Financial Industry Regulatory Authority, Inc. (“FINRA”) announced via Regulatory Notice 24-02 the effective dates and other important timeframes for new FINRA Rules 3110.18 (Remote Inspections Pilot Program) and 3110.19 (Residential Supervisory Location). Moreover, FINRA announced the end date of the COVID-19-related regulatory relief set forth in FINRA Regulatory Notice 20-08 with respect to the

The New York Stock Exchange (“NYSE”), through the NYSE Regulation staff, has issued its annual Listed Company Compliance Guidance Memo for 2024 (“Memo”), which informs NYSE-listed companies of new matters, including the following:

  1. Recovery of Erroneously Awarded Compensation. NYSE Listed Company Manual’s (“LCM”) Sections 303A.14 and 802.01F require listed companies to have in place

On January 23, 2024, the Financial Industry Regulatory Authority, Inc. (“FINRA”) published an update to the targeted exam it launched in November 2022, which was designed to review – for compliance with FINRA Rule 2210 – the practices of member firms that communicate with retail customers concerning “Crypto Assets” (generally, assets that are issued or

On January 9, 2024, the Financial Industry Regulatory Authority, Inc. (“FINRA”) published its 2024 Annual Regulatory Oversight Report (the “Annual Report”), as we blogged about.  With respect to private placements, FINRA cites to Regulatory Notice 23-08 (see our alert), for a discussion of member firms’ obligations when recommending private placements, including the obligation