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Securities Exchange Act › Transparency

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 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 Commission (SEC), which is the primary regulatory agency enforcing federal securities laws. less -
Lowenstein Sandler LLP

SEC Expands Definitions of ‘Dealer’ and ‘Government Securities Dealer’ to Adapt to Modern Market Practices

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On Feb. 6, the Securities and Exchange Commission (SEC) announced two new rules that expanded the definition of “dealer” and “government securities dealer” under the Securities Exchange Act of 1934 (Exchange Act). These...more

Seward & Kissel LLP

SEC Adopts Amendments to Increase Proxy Voting Transparency

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The Securities and Exchange Commission (SEC) recently adopted rule and form amendments (Amendments) under the Investment Company Act of 1940 to enhance the information that mutual funds, exchange-traded funds, and other...more

Pillsbury Winthrop Shaw Pittman LLP

SEC Proposes Amendments to Shareholder Reporting Rules, Affecting Schedule 13D/G Filers and Impacting Section 16(a) Reporting

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Rule amendments, if adopted, would substantially shorten filing deadlines for initial and amended Schedules 13D and 13G, as well as increase the number of securityholders required to file Section 16(a) reports (Forms 3, 4,...more

Holland & Knight LLP

New SEC Enforcement Actions Bring Number of Firms Charged with Form CRS Failures to 42

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The SEC's Division of Enforcement continues to focus on registrants' compliance with Form CRS, a byproduct of the agency's rulemakings "designed to enhance the quality and transparency of retail investors' relationships with...more

BCLP

SEC Amends Whistleblower Award Program Rules to Add Clarity, Efficiency and Transparency

BCLP on

On September 23, 2020, the Securities and Exchange Commission (“SEC” or the “Commission”) voted 3-2 to adopt a series of long-awaited amendments to the rules governing its Whistleblower Program. SEC Chairman Jay Clayton along...more

Vedder Price

SEC Adopts New ETF Rule

Vedder Price on

On September 26, 2019, the Securities and Exchange Commission (the “SEC”) adopted Rule 6c-11 (the “Rule”) under the Investment Company Act of 1940 (the “1940 Act”), the long-awaited “ETF Rule.” ETFs that satisfy certain...more

A&O Shearman

SEC Adopts Rule to Allow Most ETFs to Operate without an Order (With Strings Attached)

A&O Shearman on

The Securities and Exchange Commission adopted a long-awaited exemptive rule that will allow most exchange-traded funds (ETFs) to operate without an exemptive order, subject to various conditions. The final rule, which the...more

K&L Gates LLP

SEC Adopts Long Awaited ETF Rule to Modernize ETF Regulation

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SEC ADOPTS LONG AWAITED ETF RULE TO MODERNIZE ETF REGULATION - On September 25, 2019, the U.S. Securities and Exchange Commission (the “Commission” or “SEC”) approved Rule 6c-11 under the Investment Company Act of 1940, as...more

K&L Gates LLP

U.S. Congress Joins the Growing Number of Countries Considering Supply Chain Transparency Legislation

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Last week, the U.S. House of Representatives introduced H.R. 7089, which would require certain companies to disclose whether they have taken measures to identify and address forced labor, slavery, human trafficking, and the...more

Bracewell LLP

SEC Proposes Additional Event Disclosures for Municipal Bond Issuers

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On March 1, 2017, the Securities Exchange Commission voted in open meeting to propose amendments to Rule 15c2-12 under the Securities Exchange Act of 1934 adding two event notices to the current fourteen required in...more

BakerHostetler

SEC Adopts Payment Disclosure Rules for Companies Engaged in Resource Extraction

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The U.S. Securities and Exchange Commission (the “SEC”) has adopted new rules which require “resource extraction issuers” to disclose annually the type and amount of payments that they (or their subsidiaries or entities under...more

K&L Gates LLP

SEC Adopts Payment Disclosure Rules for Resource Extraction Issuers

K&L Gates LLP on

On June 27, 2016, the U.S. Securities and Exchange Commission (“SEC”) adopted Rule 13q-1 under the Securities Exchange Act of 1934 (the “Exchange Act”) and amendments to Form SD (Specialized Disclosure Report) (See SEC...more

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