News & Analysis as of September 25, 2024

Securities Exchange Act › Financial Regulatory Reform

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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

Updating Your Description of Securities Exhibit

Perkins Coie on 9/9/2024

As summer turns into fall and in-house lawyers start thinking ahead to the upcoming 10-K filing season, we’re often asked to review and update the description of securities exhibit(s) required to be filed with Form 10-K by...more

Troutman Pepper Weekly Consumer Financial Services Newsletter - November 2023 # 4

Troutman Pepper on 11/28/2023

To keep you informed of recent activities, below are several of the most significant federal and state events that have influenced the Consumer Financial Services industry over the past week...more

Broker Dealer Regulatory Digest - November 2023

Davis Wright Tremaine LLP on 10/30/2023

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

In Case You Missed It - Interesting Items for Corporate Counsel - February 2020

Stoel Rives LLP on 2/28/2020

The SEC proposed updates to Regulation S-K to modernize, simplify and enhance financial disclosures, here. The SEC’s press release, here, summarizes the changes as well as any law firm memo (but see here and here if you don’t...more

SEC Proposes Rule Amendments Designed to Expand Access to Private Investment Opportunities

Cadwalader, Wickersham & Taft LLP on 1/23/2020

By a 3-2 vote, the Securities and Exchange Commission (the “SEC”) approved the publication of a release on December 18, 2019, generally expanding the scope of the definitions of “accredited investor” in Rule 501(a) of...more

SEC Proposes Amendments to Definitions of “Accredited Investor” and “Qualified Institutional Buyer”

Sullivan & Worcester on 1/3/2020

The U.S. Securities and Exchange Commission (the "SEC") proposed on December 18, 2019 amendments to, among other things, its current rules under the Securities Act of 1933 (the "Securities Act") relating to the definitions of...more

SEC Proposes Update to Accredited Investor Definition that Would Make Private Markets Available to More Investors

Faegre Drinker Biddle & Reath LLP on 1/2/2020

On December 18, 2019, the Securities and Exchange Commission (SEC) voted to propose amendments to the definition of “accredited investor” in Rule 501(a) of Regulation D (Reg D) under the Securities Act of 1933 (Securities...more

SEC Proposes Modifications to Cross-Border Application of Security-Based Swaps Regime

A&O Shearman on 9/4/2019

The Securities and Exchange Commission (SEC) continues to take steps toward implementation of its security-based swap (SBS) dealer registration framework. A particular area of concern for market participants has been how the...more

Security-Based Swaps Meet Rule 15a-6 - Potential New Exemptions for Security-Based Swaps and SBSDs

Cadwalader, Wickersham & Taft LLP on 6/4/2019

The Securities and Exchange Commission (the “SEC”) has proposed a number of amendments to its rules and guidance governing security-based-swaps (“SBS”) entered into by non-U.S. firms....more

SEC Adopts Modernization and Simplification of Regulation S-K

McDermott Will & Emery on 4/16/2019

On March 20, 2019, the SEC adopted amendments to existing rules that, among other provisions, permit the omission of certain confidential information from material contracts without separately requesting confidential...more

Renewed Spotlight on Rule 10b5-1 Insider Trading Plans: Promoting Transparent Standards for Corporate Insiders Act

Kramer Levin Naftalis & Frankel LLP on 3/22/2019

On Jan. 28, 2019, the House of Representatives passed with overwhelming bipartisan support (413 to 3) the Promoting Transparent Standards for Corporate Insiders Act (H.R. 624) (the Act). If passed by the Senate, the Act would...more

SEC Adopts Final Rule Expanding Regulation A Exemption to Exchange Act Reporting Companies

Ballard Spahr LLP on 12/31/2018

The Securities and Exchange Commission (SEC) last week adopted a final rule amending Regulation A to broaden eligibility for its exemption from full SEC registration. ...more

SEC Reporting Companies Now Regulation A+ Eligible

Farrell Fritz, P.C. on 12/27/2018

On December 19, 2018, the Securities and Exchange Commission issued final rules to permit reporting companies under the Securities Exchange Act to offer securities under Regulation A (affectionately referred to often as...more

SEC Directed to Increase Rule 701 Disclosure Threshold to $10 million

Pillsbury Winthrop Shaw Pittman LLP on 6/22/2018

Increased Rule 701 threshold provides greater flexibility and reduces compliance costs for non-reporting companies. Recently enacted legislation rolling back Dodd-Frank directs the SEC to increase the Rule 701 enhanced...more

New Law Requires SEC to Expand Regulation A+ To Exchange Act Reporting Companies

Sheppard Mullin Richter & Hampton LLP on 6/20/2018

On May 24, 2018, President Donald J. Trump signed into law the Economic Growth, Regulatory Relief, and Consumer Protection Act (the “Act”). The Act, which primarily focuses on rolling back certain regulatory provisions of the...more

Proposal for Tick-Size Pilot Program Submitted to SEC

Akin Gump Strauss Hauer & Feld LLP on 9/12/2014

In response to an order from the Securities and Exchange Commission (SEC) in June, on August 26, 2014, the SEC announced that it had received a proposal from the national securities exchanges and the Financial Industry...more

Credit Risk Retention – Joint Regulatory Re-Proposed Rules

Orrick, Herrington & Sutcliffe LLP on 9/18/2013

On August 28, 2013, six federal agencies1 jointly re-proposed rules to implement the credit risk retention requirements of Section 15G of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), which was added...more

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Securities Exchange Act › Financial Regulatory Reform

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