News & Analysis as of September 21, 2024

Cybersecurity › Securities and Exchange Commission (SEC) › Proposed Regulation

+ Follow

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... more +

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 -

Promissory Notes - Banking & Finance Insights: V 4, Issue 2, March 2024

Spilman Thomas & Battle, PLLC on 3/5/2024

Volume 4, Issue 2, 2024 Welcome! Welcome to the second issue of Promissory Notes - our banking and finance e-newsletter - for 2024. Business today is characterized by relentless change. To assist our clients in navigating...more

2023 Year in Review: Data Privacy and Cybersecurity

Goodwin on 2/16/2024

Welcome to the Data Privacy and Cybersecurity chapter of our annual report Consumer Financial Services 2023 Year in Review. Looking Ahead to 2024 - Amendments to key rules and regulations will take effect in 2024,...more

Broker Dealer Regulatory Digest - October 2023

Davis Wright Tremaine LLP on 12/2/2023

Editor's Note - The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency,...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 Proposes Sweeping New Cybersecurity Rules: Is Your Company Prepared?

Seyfarth Shaw LLP on 4/10/2023

On March 15, 2023 the Securities and Exchange Commission (“SEC”) proposed three new sets of rules (the “Proposed Rules”) which, if adopted, would require a variety of companies to beef up their cybersecurity policies and data...more

Dechert Cyber Bits - Issue 31

Dechert LLP on 3/31/2023

SEC Proposes Significant Updates to Regulation S-P and Cyber Risk Management Rule for Market Entities - At an open meeting on March 15, 2023, the Securities and Exchange Commission (the “Commission) issued a release and...more

[Webinar] Privacy Legislative Look Back and Look Ahead - September 21st, 12:00 pm - 1:00 pm EDT

McDermott Will & Emery on 8/30/2022

2022 has been a busy legislative year for privacy. Dozens of states considered consumer privacy bills, two states enacted privacy consumer bills and California released proposed California Consumer Privacy Act (CCPA)...more

SEC Proposes New Cybersecurity Disclosure Requirements

Bass, Berry & Sims PLC on 3/11/2022

On March 9, the Securities and Exchange Commission (SEC) proposed rules and amendments to enhance and standardize public companies’ disclosures regarding cybersecurity risk management, strategy, governance, and incident...more

SEC proposes new cybersecurity disclosure requirements

BCLP on 3/10/2022

On March 9, 2022, the SEC proposed new requirements for reporting of material cybersecurity incidents in 8-Ks and periodic reports as well as disclosure of board and management roles with respect to cybersecurity and of...more

The Big Change in Cybersecurity Regulation That No One Is Talking About

White and Williams LLP on 1/23/2020

The close of 2019 witnessed a significant development in data security law that impacts companies regulated with respect to or engaged in the trading of public securities, as well as those companies that provide services to...more

Regulatory Update and Recent SEC Actions - January 2019

Blank Rome LLP on 1/18/2019

Fund and Investment Management January 2019 (No. 1) REGULATORY UPDATES Policy Initiatives Set Forth by the U.S. Securities and Exchange Commission’s (“SEC”) Investment Management Division On September 28, 2018, Division of...more

Investment Management Regulation: Year in Review

Kilpatrick on 1/3/2019

As we prepare for a new year of regulatory initiates and actions, we believe it is important to take inventory of the most significant regulatory events from the past year. True to its word, the SEC focused on reducing...more

SEC Issues Guidance on Business Continuity Planning for Registered Investment Companies

Eversheds Sutherland (US) LLP on 7/18/2016

On June 27, the staff of the Securities and Exchange Commission’s (Commission or SEC) Division of Investment Management (IM) issued a Guidance Update on business continuity planning for registered investment companies...more

Yet Another Congressional Proposed Corporate Reform: Proxy Advisory Firms in the Crosshairs

Orrick, Herrington & Sutcliffe LLP on 7/8/2016

Over the past six months, U.S. legislators have engaged in an unusual burst of energy to introduce three separate bills regulating various areas affecting U.S. public company corporate governance...more

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on 11/2/2015

Non-Enforcement - SEC Decides Against Mounting an Appeal in Koch Ruling - The July 2015 ruling by the D.C. Circuit Court in Koch v. SEC will apparently not be challenged by the SEC. The Court ruled in that...more

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on 10/1/2015

Non-Enforcement Cybersecurity Is At the Top of SEC Examination Concerns In a recent SEC “risk alert” for registered broker-dealers and investment advisers, the SEC’s Office of Compliance Inspections and Examinations (OCIE)...more

This Week In Securities Litigation

Dorsey & Whitney LLP on 9/25/2015

The Commission responded to critics of its administrative proceedings this week, proposing changes to the Rules of Practice which govern them. If adopted the new rules would modify the time period within which the actions...more

National Futures Association Proposes Cybersecurity Guidance for NFA Member Firms

Morgan Lewis on 9/8/2015

NFA links NFA’s supervisory requirements with its proposed requirements mandating that NFA Members have information systems security programs. The National Futures Association (NFA) has proposed cybersecurity...more

18 Results

/

View per page

Page: of 1