News & Analysis as of September 20, 2024

Securities Exchange Act › Securities Exchanges

+ Follow

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

Grayscale Scores Provisional Win in Bid for Spot Bitcoin ETP

Latham & Watkins LLP on 9/18/2023

An appeals court panel rules that the SEC rejection of a proposed spot bitcoin ETP was arbitrary and capricious, opening the door for the potential launch of numerous ETPs in the near future. On August 29, 2023, a...more

SEC opens comment period on defining “exchange”

Orrick, Herrington & Sutcliffe LLP on 4/24/2023

On April 14, the SEC reopened the comment period on proposed amendments to the statutory definition of “exchange” under Exchange Act rule 3b-16, which now includes systems that facilitate the trading of crypto asset...more

SEC Proposes Changes to Regulation ATS for Communication Protocol Systems

Morgan Lewis on 2/16/2022

The US Securities and Exchange Commission (SEC) has proposed a sweeping expansion in how it defines securities exchanges to capture digital asset platforms, request-for-quote platforms, indication-of-interest platforms (IOI),...more

Guide to Joining the OTCQX or the OTCQB Markets for Canadian and Other Foreign Issuers

Dorsey & Whitney LLP on 10/15/2020

The United States capital markets are among the world’s largest and most stable markets to access capital and liquidity for securityholders. In the past, many Canadian companies have elected not to access the United States...more

ICI Joins in Fight Between the SEC and National Exchanges

Kilpatrick on 8/9/2019

Last December, the SEC unanimously approved a two-year pilot program (the “Transaction Fee Pilot”) intended to assess alternatives to the predominant pricing model used by national securities exchanges (the “Maker-Taker...more

Where is the Love? Exchanges Sue SEC Over Market Access Fee Pilot Program

Sheppard Mullin Richter & Hampton LLP on 2/28/2019

Three prominent trading exchanges did not exactly show their government overseer the love this Valentine’s week. On February 14, 2019, the New York Stock Exchange (“NYSE”) filed a petition for review to the U.S. Court of...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 Updates Compliance and Disclosure Interpretations for Legacy Deals

Orrick - Finance 20/20 on 9/29/2015

On September 16, the SEC released its updated compliance and disclosure interpretations for the rules adopted under Regulation AB, the Securities Act and the Exchange Act. Among others, the updated interpretation clarified...more

8 Results

View per page

Page: of 1

Securities Exchange Act › Securities Exchanges

"My best business intelligence, in one easy email…"