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Regulatory Agenda › No-Action Letters › Securities and Exchange Commission (SEC)

Holland & Knight LLP

SEC's New Crypto 2.0 Task Force Gets to Work

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On Feb. 4, 2025, SEC Commissioner Hester Peirce, in her role as head of the Commission's newly minted Crypto Task Force, provided additional detail regarding the task force's objectives. She began by managing expectations,...more

Mayer Brown Free Writings + Perspectives

SEC Adopts Modernized Regulatory Framework for Derivatives Use by Registered Funds and Business Development Companies

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Yesterday, the Securities and Exchange Commission adopted final rules relating to the use of derivatives by registered investment companies and business development companies....more

Latham & Watkins LLP

2019 Digital Asset Regulatory Look Back (US Edition)

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It was a year filled with tantalizing tidbits and many loose ends. 2019 marked the 10th year since blockchain technology was released into the wild by its still unknown inventor, Satoshi Nakamoto, who mined the first bitcoin...more

Kramer Levin Naftalis & Frankel LLP

SEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers

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The Securities and Exchange Commission (the SEC) announced on Monday that it had voted to propose amendments to modernize Rule 206(4)-1 (which addresses investment adviser advertisements) (the Advertising Rule) and Rule...more

Pillsbury Winthrop Shaw Pittman LLP

All Eyes Are on Regulation of Digital Assets as Federal Agencies and Lawmakers Seek to Bring Clarity: Part 1—The SEC, Utility...

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Federal regulators start to address some of the recent questions about digital assets such as tokens and virtual currencies, though many questions remain. U.S. Regulators and Congress are grappling with how to manage the...more

Carlton Fields

Has OMB Reined in the SEC?

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An April 11, 2019, Office of Management and Budget Memorandum seeks to bring certain guidance issued by federal agencies, including the SEC, under more effective scrutiny. By its terms, the Memorandum applies to agency rules,...more

Mayer Brown Free Writings + Perspectives

SEC Informal Guidance Scrutinized by Commissioner and Subject to OMB Memo

Mayer Brown Free Writings + Perspectives on

On April 8, 2019, Commissioner Hester Peirce of the Securities and Exchange Commission (“SEC”) delivered a speech entitled “SECret Garden” at the Practicing Law Institute’s 2019 SEC Speaks conference. In her speech,...more

King & Spalding

How Far We Haven't Come: The Revolution Will Not Be Securitized

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While SEC FinHub’s new framework announced last week for identifying crypto-securities suggests continued resistance for those using digital assets to access capital markets, an SEC no-action letter issued the same day to...more

Ballard Spahr LLP

Investment Management Update

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Here in is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry....more

Stoel Rives LLP

In Case You Missed It - Interesting Items for Corporate Counsel - February 2015

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It’s still the case that commentators have said nothing revelationary about “proxy access ,” the recent private-ordering push, and the SEC’s flip-floppery on its Whole Foods no-action letter. “Proxy access” is short hand for...more

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