The Securities and Exchange Commission’s Investor Advisory Committee (the “Committee”) will meet on Tuesday, December 10, 2024, in an open meeting, that will stream on the SEC’s website. The Committee will first hear from two…
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/ Administrative Law, Alternative Dispute Resolution (ADR), Commercial Law & Contracts, Consumer Protection, Securities Law
Broker-dealers had been preparing for the sunset of the prior time-based relief that the staff of the Securities and Exchange Commission provided in respect of compliance with Rule 15c2-11 as to certain fixed income securities,…
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/ Administrative Law, Finance & Banking, Securities Law
At the Practising Law Institute’s 56th Annual Institute on Securities Regulation, panelists discussed how public companies are addressing cybersecurity and artificial intelligence (AI) related issues…
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/ Business Organizations, Science, Computers, & Technology, Securities Law
On November 13, 2024, during the Practicing Law Institute’s 56th Annual Institute on Securities Regulation, a panel of experts discussed recent disclosure developments for public companies. The main topics of discussion included…
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/ Business Organizations, Finance & Banking, Securities Law
On November 14, 2024, the Practising Law Institute’s 56th Annual Institute on Securities Regulation featured a panel discussion that provided valuable insights into the initial public offering (IPO) landscape for 2025…
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/ Business Organizations, Finance & Banking, Securities Law
REIT capital raising in 2024 has surpassed 2023 and 2022 levels after having undergone a substantial decline after the COVID pandemic. According to the National Real Estate Investment Trust Association (Nareit), US REITs raised…
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/ Finance & Banking, Mergers & Acquisitions, Real Estate - Commercial, Securities Law
On October 21, 2024, the Division of Examinations (“EXAMS” or the “Division”) of the U.S. Securities and Exchange Commission (“SEC”) released its examination priorities (the “2025 Priorities”) for fiscal year 2025 (which started…
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/ Administrative Law, Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law
On September 25, 2024, the Securities and Exchange Commission announced the settlement of twenty-one enforcement actions related to untimely reports required by Section 13(d) or 13(g) of the Securities Exchange Act, Section…
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/ Administrative Law, Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law
In September 2024, the Securities and Exchange Commission charged a consumer products company (the “Company”) with having made inaccurate claims regarding the recyclability of its single-use coffee pods. The SEC found that the…
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/ Consumer Protection, Environmental Law, Securities Law
A broker-dealer failed to reasonably supervise its registered representatives when making recommendations of certain variable rate structured products (“VRSPs”), including fixed to floating rate steepeners and other variable…
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/ Finance & Banking, Consumer Protection, Securities Law
The Chair and Commissioners of the Securities and Exchange Commission testified before the US House of Representatives Committee on Financial Services on September 24, 2024. The SEC’s testimony provided updates on market…
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/ Business Organizations, Finance & Banking, Securities Law
The Cyber and Analytics Unit within the Member Supervision program of the Financial Industry Regulatory Authority, Inc. (“FINRA”) recently published a cybersecurity advisory regarding increasing cybersecurity risks at…
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/ Finance & Banking, Privacy, Science, Computers, & Technology, Securities Law
The SEC recently published its report on the 2024 Government-Business Forum on Small Business Capital Formation. The Forum addresses a range of issues affecting small businesses, including smaller public companies. The SEC’s…
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/ Business Organizations, Finance & Banking, Securities Law
A broker-dealer (the “Dealer”) entered into a cease-and-desist order with the Securities and Exchange Commission for failing to maintain and enforce written policies and procedures reasonably designed to achieve compliance with…
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/ Business Organizations, Finance & Banking, Securities Law
The Securities and Exchange Commission recently announced that it will host a compliance outreach program on November 7, 2024 (see the program’s agenda) on Advisers Act and Investment Company Act related topics. The agenda…
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/ Business Organizations, Finance & Banking, Securities Law
