LegalSeptember 21, 2017

Wolters Kluwer white paper examines Securities and Exchange Commission new developments

Wolters Kluwer legal experts provide comprehensive analysis of regulatory shifts impacting securities law.

Wolters Kluwer Legal & Regulatory U.S. has issued a newly updated white paper, "Hot Topics in SEC Filings 2017", exploring new developments within the Trump Administration and the Securities and Exchange Commission (SEC) and their impacts on securities law.

As a leader in transactional law, particularly in the areas of SEC and filings research and filings and mergers and acquisitions, Wolters Kluwer's securities experts contribute to the company's extensive portfolio of content and workflow solutions, including its newly launched Transactional Law Suite for Securities. The white paper is authored by two such experts, Mark S. Nelson, J.D. and Jay Fishman, J.D. The paper provides updated information and in-depth analysis of regulatory roll-backs, the SEC's emerging guidance on fintech issues, its review of cybersecurity issues and the related Regulation Systems Compliance and Integrity, and recent changes to Blue Sky law.

"The Trump administration's moves to deregulate the financial industry have begun to impact regulatory decision-making in several areas," said Mr. Fishman. "At the same time, growing concerns over cyber risks have spurred federal and state regulators to seek new standards for cybersecurity and curb potential issues surrounding virtual currencies. As these efforts continue, they will ultimately impact several different areas of the law."

Highlights of the paper's analysis include:

  • A comparison of new and existing conflict minerals guidance from the SEC and a current status of existing authority on conflict minerals disclosure requirements;
  • The SEC's report on initial coin offerings;
  • A survey of cybersecurity issues including governance concerns and Regulation Systems Compliance and Integrity; and
  • A comparison of Rule 147 and Rule 147A offering requirements.

"As policy and regulation around securities law continues to evolve, our experts will continue to provide our customers with exceptional thought leadership on issues affecting securities practitioners and help them stay ahead of the latest developments in securities practices," said Susan Chazin, Portfolio Director, Securities and Banking at Wolters Kluwer Legal & Regulatory U.S.

Download the "Hot Topics in SEC Filings 2017" white paper and to learn more about Transactional Law Suite for Securities please visit:

Wolters Kluwer's experts will discuss the white paper's content further during a webinar entitled "Hot Topics in SEC Filings", taking place on Wednesday, October 4th at 3 pm EST. Wolters Kluwer Legal & Regulatory U.S. will seek .5 CLE Credits in any state from which registrants apply.


About Transactional Law Suite for Securities

As a market leader in transactional law, Wolters Kluwer recently launched its newest securities offering, Transactional Law Suite for Securities, which provides securities and M&A practitioners with an array of intuitive workflow tools. Earlier this year, Wolters Kluwer introduced a new design and new features for its signature regulatory and SEC filings research and workflow solutions, RBsource® and RBsourceFilings®. In the near term, these products will be augmented by a new offering, RegReview, that will provide point-in-time-analysis and contextual rule checking capabilities.


About Wolters Kluwer

Wolters Kluwer (WKL) is a global leader in professional information, software solutions, and services for the health, tax & accounting, governance, risk & compliance, and legal & regulatory sectors. We help our customers make critical decisions every day by providing expert solutions that combine deep domain knowledge with specialized technology and services.

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