News & Analysis as of September 26, 2024

Proposed Amendments

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Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk management, global regulations, data protection, leaks, hacking, cyber insurance, compliance, HIPAA, and every other aspect of cybersecurity of import to corporate readers right now. less -

Dual registrant regulatory roundup - August 2024

Eversheds Sutherland (US) LLP on 8/9/2024

Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more

Client Alert: The SEC Expands Its Cybersecurity Oversight by Adopting Regulation S-P Amendments

Jenner & Block on 6/3/2024

Earlier this month, approximately one year after releasing its proposed amendments to Regulation S-P, the SEC announced the adoption of final amendments to Regulation S-P, expanding the information protected, the policies and...more

Upcoming SEC Open Meeting on Cyber (and More)

Mayer Brown Free Writings + Perspectives on 7/20/2023

The Securities and Exchange Commission announced an open meeting to be held on July 26, 2023. The agenda includes consideration of the final amendments to the rules relating to enhanced and standardized disclosures regarding...more

SEC Proposes to Expand Reg SCI

WilmerHale on 5/9/2023

The Securities and Exchange Commission (SEC) proposes to amend Regulation Systems Compliance and Integrity (Reg SCI) to update and expand the regulatory oversight of the core technology of the U.S. securities markets.1 The...more

SEC Proposes Robust Amendments to Regulation S-P

Dechert LLP on 4/18/2023

At an open meeting on March 15, 2023, the U.S. Securities and Exchange Commission voted unanimously to propose rule amendments to Regulation S-P (Proposed Rule) and published an accompanying release (Release). The Proposed...more

Investment Management Update - April 2023

Skadden, Arps, Slate, Meagher & Flom LLP on 4/14/2023

SEC Rules and Amendments - Liquidity Rule Amendments: Interval Funds to the Rescue? On November 2, 2022, the Securities and Exchange Commission (SEC) voted to propose significant amendments to Rule 22e-4 under the...more

SEC Revisits Regulation S-P After Twenty Years of Innovation to Information Technology

Proskauer - The Capital Commitment on 4/5/2023

On March 15, 2023, the U.S. Securities and Exchange Commission (“SEC”) released its proposal to amend Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information (the “Proposed...more

Investment Advisers, Broker-Dealers, and Other Financial Industry Participants Take Note: SEC Demonstrates Commitment to...

Lowenstein Sandler LLP on 3/30/2023

On March 15, 2023, the Securities and Exchange Commission (“SEC”) issued three releases proposing (i) amendments to Regulation S-P (“Regulation S-P Proposal”)1, (ii) amendments to Regulation SCI (“Regulation SCI Proposal”)2,...more

SEC Proposes New Cybersecurity Rule and Amendments

Paul Hastings LLP on 3/30/2023

On March 15, 2023, the SEC issued proposed amendments and a proposed rule addressing cybersecurity. Specifically, the SEC proposed Rule 10, which addresses cybersecurity risks, and proposed to amend Regulation SCI and...more

Client Alert: Proposed SEC Amendments Will Require Regulated Companies to Scrutinize Cybersecurity Risks

Jenner & Block on 3/29/2023

As cyber-attacks and data breaches pose an increasing threat to market participants, the US Securities and Exchange Commission (“SEC”) has become increasingly focused on the cyber risks to the public and the market at large....more

SEC Proposes Changes to Reg S-P to Impose New Cybersecurity-Related Requirements on Covered Institutions

WilmerHale on 3/24/2023

On March 15, 2023, the Securities and Exchange Commission (SEC) announced proposed changes to Regulation S-P (“Reg S-P”) that would impose new cybersecurity incident response requirements on broker-dealers, investment...more

Changing of the Guard? SEC Proposes Significant Amendments to the Safeguards Rule

Holland & Knight LLP on 3/23/2023

The SEC continued its recent onslaught of proposed cybersecurity rules in mid-March with three new proposals covering a litany of entities, including investment advisers, broker-dealers, investment companies, clearing...more

[Webinar] Are you Ready? Why Your Board & Stakeholders Are About to Ask You About Your IT Risk Technology - March 14th, 10:00 am...

Mitratech Holdings, Inc on 3/1/2023

The attention on IT Risk and Cybersecurity risk management policies is reaching new heights — again. It doesn’t matter if you’re a large enterprise like Uber or a small / midcap company; there’s one common thread as we start...more

SEC Updates for the Upcoming 2022 Annual Reports on Form 10-K and Form 20-F

Seward & Kissel LLP on 2/7/2023

The U.S. Securities and Exchange Commission (the “SEC”) has adopted amendments and updated disclosure requirements that are to be included in a reporting company’s annual report on Form 10-K or 20-F. The SEC has also proposed...more

SEC Proposes Amendments to Best-Execution Rule

Seward & Kissel LLP on 12/16/2022

Yesterday, SEC Chair Gary Gensler announced proposed amendments to Rule 605 of Regulation NMS to modernize and expand disclosure requirements related to order execution quality. Chair Gensler stated that he was “pleased to...more

Data Privacy and Cybersecurity New Laws and Regulations Report

Paul Hastings LLP on 10/6/2022

Throughout 2022, we continue to see regulators placing an emphasis on the importance of protecting and securing information, in particular consumer personal information, at both the federal and state levels. ...more

Upcoming Regulatory Initiatives Impacting Private Fund Managers - September 2022

Dechert LLP on 9/22/2022

This latest edition of the regulatory initiatives paper sets out at a high level the core regulatory issues that are likely to impact private fund managers in the coming months, including an overview of the key actions needed...more

SEC’s Pending Proposed Rules on Cybersecurity Incident and Risk Management Disclosure

Wyrick Robbins Yates & Ponton LLP on 9/20/2022

The U.S. Securities and Exchange Commission (“SEC” or “Commission”) has published proposed rules to enhance and standardize disclosures regarding cybersecurity risk management, strategy, governance, and cybersecurity incident...more

New York State Department of Financial Services Proposes Updates to Cybersecurity Regulation

Wiley Rein LLP on 8/17/2022

On July 29, 2022, the New York Department of Financial Services (DFS) released Draft Amendments to its Part 500 Cybersecurity Rules. These changes are open for a preliminary public comment until August 18, and then an...more

Regulatory Update and Recent SEC Actions - April 2022

Blank Rome LLP on 4/13/2022

REGULATORY UPDATES - Senate Confirms Jackson as Supreme Court Justice - The Senate has voted to confirm Judge Ketanji Brown Jackson as the 116th Supreme Court justice and the first Black woman and former public defender to...more

Corporate Communicator - Spring 2022

Snell & Wilmer on 4/7/2022

On March 9, 2022, the Securities and Exchange Commission (“SEC”) proposed amendments to its rules to enhance and standardize cybersecurity disclosures. The proposed amendments would require: (1) disclosure of cybersecurity...more

SEC Proposes Rules to Include Certain Significant Market Participants as “Dealers” or “Government Securities Dealers”

Goodwin on 4/1/2022

In This Issue. The U.S. Securities and Exchange Commission (SEC) proposed rules to include certain significant market participants as “dealers” or “government securities dealers” to essentially eliminate the trader exclusion...more

Proposed SEC Cybersecurity Rules

Keating Muething & Klekamp PLL on 3/23/2022

On March 9, 2022, the Securities and Exchange Commission (“SEC”) proposed amendments to rules to expand and standardize disclosures regarding cybersecurity risk management, strategy, governance, and incident reporting by...more

SEC Amendments on Cybersecurity Disclosure

Cadwalader, Wickersham & Taft LLP on 3/18/2022

At an open meeting last week, the Securities and Exchange Commission (the “SEC”) proposed amendments “to enhance and standardize disclosures regarding cybersecurity risk management, strategy, governance, and incident...more

SEC Proposes New Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure

Foley & Lardner LLP on 3/18/2022

On March 9, 2022, the U.S. Securities Exchange Commission (the Commission) announced proposed amendments to its rules regarding cybersecurity risk management, strategy, governance, and incident reporting by public companies...more

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