News & Analysis as of

Equity Securities Regulatory Reform

Dechert LLP

FCA proposes reform of the UK listing regime: a single segment for equity shares

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On 26 May 2022, the Financial Conduct Authority (the “FCA”) published a discussion paper (DP22/2), setting out its response to feedback received to consultation paper 21/21: Primary Markets Effectiveness Review and seeking...more

Mayer Brown Free Writings + Perspectives

The SEC’s Proposed Short Sale Reporting Rules

On February 25, 2022, the Securities and Exchange Commission (“SEC”) voted to amend the Consolidated Audit Trail (“CAT”) and Regulation SHO, as well as to propose new rules that would require short sale reporting....more

Mayer Brown Free Writings + Perspectives

SEC Proposes Modernization of Beneficial Ownership Reporting: Amendments to Schedules 13D and 13G

On February 10, 2022, the Securities and Exchange Commission proposed amendments to Schedules 13D and 13G relating to beneficial ownership reports.  Section 13D requires disclosure by investors of the accumulation of...more

Wyrick Robbins Yates & Ponton LLP

SEC Issues Proposed Rules on Disclosures Surrounding Stock Repurchases

On December 15, 2021, the Securities and Exchange Commission (SEC) proposed amendments to modernize and improve disclosure about repurchases of an issuer’s equity securities that are registered under Section 12 of the...more

Jones Day

SEC Proposes Three New Rules for Securities-Based Swaps

Jones Day on

The SEC is considering new rules that would require public position reporting and other requirements for security-based swaps. On December 15, 2021, the SEC proposed three rules under the Securities Exchange Act to...more

Dechert LLP

FINRA Proposes Order Routing Disclosure Requirements for OTC Equity Securities

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The Financial Industry Regulatory Authority (“FINRA”) on October 6, 2021, published a regulatory notice (“Notice”) requesting comment on a proposal requiring broker-dealers to publish quarterly order routing disclosure...more

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