Week InAdvance: March 28, 2016

The SEC will hold an open meeting on Wednesday to consider a rule establishing conduct standards for security-based swap dealers and whether to seek comment on updating its Regulation S-K disclosure regime. The swap conduct rule, proposed in 2011, would require dealers and major security-based swap participants to communicate with counterparties in good faith about risks, conflicts of interest, clearing and other matters. The CFTC adopted related rules in 2012. The SEC has jurisdiction over security-based swaps but the CFTC oversees other types. Regulation S-K - a companion to Regulation S-X, which governs company financial statements - outlines public company disclosures such as registration statements annual reports and tender offers.
Read entire Week InAdvance: March 28, 2016