News & Analysis as of June 1, 2025

Cybersecurity › Investment › Securities Regulation

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Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk... more +

Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk management, global regulations, data protection, leaks, hacking, cyber insurance, compliance, HIPAA, and every other aspect of cybersecurity of import to corporate readers right now. less -

SEC Speaks 2025: Key Takeaways from Division of Enforcement Panels

Ropes & Gray LLP on 5/27/2025

The SEC’s Division of Enforcement intends to remain a “cop on the beat,” and will refocus on traditional core enforcement areas, such as insider trading, accounting and disclosure fraud, market manipulation, and breaches of...more

What’s New with FINRA’s Recent 2025 Regulatory Oversight Report

Faegre Drinker Biddle & Reath LLP on 2/26/2025

2025 is here, and so is FINRA’s 2025 Annual Regulatory Oversight Report (Report). On January 28, 2025, FINRA published the Report, which provides firms with insight into FINRA’s findings from recent observations and...more

SEC Commissioners on the Hunt for Materiality: Disagree on Cybersecurity Enforcement Actions

Carlton Fields on 2/3/2025

On October 22, 2024, Republican SEC Commissioners Hester Peirce and Mark Uyeda issued a joint dissent sharply criticizing charges brought against four companies for allegedly making materially misleading disclosures regarding...more

Directors Quarterly: January 2025

KPMG Board Leadership Center (BLC) on 1/20/2025

The latest edition of Directors Quarterly features a summary of board and committee agenda priorities for 2025, financial reporting and auditing updates, post-election observations from around the world, and more. Read the...more

The SEC’s Division of Examinations Announces 2025 Priorities

Troutman Pepper Locke on 11/1/2024

On October 21, the Securities and Exchange Commission’s (SEC) Division of Examinations announced its 2025 examination priorities (2025 guidance) for registered investment advisers and investment companies, broker-dealers,...more

Expect Focus - Volume IlI, September 2024

Carlton Fields on 10/16/2024

Gone With the Wind? Closed-End Funds Risk Extinction - Shares of SEC-registered closed-end funds (CEFs) have long held significant potential advantages for some investors. For example, unlike shares of mutual funds...more

2023 Consumer Financial Services Highlights

Mayer Brown on 2/23/2024

REGULATORY, COMPLIANCE & LICENSING - Mayer Brown's exceptional breadth of knowledge and experience helps consumer finance and mortgage finance entities navigate the broad range of US federal and state laws impacting their...more

Public Companies Quarterly Update (Q4 2023)

Saul Ewing LLP on 1/5/2024

Welcome to Saul Ewing’s Public Companies Quarterly Update series. Our intent is to, on a quarterly basis, highlight important legal developments of which we think public companies should be aware. This edition is related to...more

Upcoming SEC Open Meeting on Cyber (and More)

Mayer Brown Free Writings + Perspectives on 7/20/2023

The Securities and Exchange Commission announced an open meeting to be held on July 26, 2023. The agenda includes consideration of the final amendments to the rules relating to enhanced and standardized disclosures regarding...more

SEC Publishes FY22-26 Strategic Plan

Mayer Brown Free Writings + Perspectives on 12/7/2022

On November 23, 2022, the SEC released its strategic plan for fiscal years 2022 to 2026. The plan focuses on three goals: protect the investing public against fraud, manipulation, and misconduct; develop and implement a...more

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