News & Analysis as of September 19, 2024

Securities Exchange Act › Fees

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The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +

The Justice Insiders Podcast: Meet the Securities and Exchange (and Human Resources) Commission

Nutter Securities Enforcement Update: May 1, 2022

Nutter McClennen & Fish LLP on 5/1/2022

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more

Federal Court Rejects Request for “Mootness Fee” in Merger Litigation

Snell & Wilmer on 2/23/2022

A federal court in New York recently dealt a blow to the common litigation practice of plaintiff’s counsel requesting a “mootness fee” when challenging disclosures made by public companies in mergers and other large...more

The SEC Announces Significantly Increased Fee Rates for 2019

Kilpatrick on 3/14/2019

On March 12, 2019, the Securities and Exchange Commission (SEC) announced that, on April 16, 2019, SEC fee rates applicable to most securities transactions will be raised from the current rate of $13.00 per million to the new...more

Understanding the Regulatory Concerns of Cryptocurrency Exchange Registration

Holland & Knight LLP on 4/30/2018

• Coinbase, one of the largest cryptocurrency exchanges, recently approached the U.S. Securities and Exchange Commission (SEC) about possible licensing as a broker-dealer. If Coinbase decides to register with the SEC, it will...more

SEC Rules for Resource Extraction Issuers Could Lead to Increased FCPA Scrutiny, Disclosures

Holland & Knight LLP on 9/8/2016

New rules issued by the U.S. Securities and Exchange Commission (SEC) that require resource extraction issuers to disclose payments made to U.S. and foreign governments for the commercial development of oil, natural gas or...more

SEC Published Fee Rate Advisory #2 For Fiscal Year 2014

Orrick - Finance 20/20 on 11/5/2013

On October 31, the SEC announced that the fees paid under Section 31 of the Exchange Act will remain at their current rate until 60 days after the enactment of a regular appropriation for the SEC. ...more

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