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Rulemaking Process › Proposed Amendments › Exemptions

Blake, Cassels & Graydon LLP

OSC Proposes New Rules to Restrict Short Selling Ahead of Offerings of Public Securities

Blake, Cassels & Graydon LLP on

On June 6, 2025, the Ontario Securities Commission (OSC) proposed amendments (Proposed Amendments) to OSC Rule 48-501 Trading during Distributions, Formal Bids and Share Exchange Transactions (OSC Rule 48-501) that will, if...more

Cadwalader, Wickersham & Taft LLP

CFTC Codifies Registration and Reporting Relief for Commodity Pool Operators and Commodity Trading Advisors

Cadwalader, Wickersham & Taft LLP on

The Commodity Futures Trading Commission (the “CFTC”) approved the publication of two releases (the “Final Rules”) on November 25, 2019, adopting final amendments to Part 4 of the CFTC Rules which codify and expand a number...more

Mayer Brown Free Writings + Perspectives

SEC Approves FINRA Rule 5110 Amendments

Mayer Brown Free Writings + Perspectives on

Recently, the Securities and Exchange Commission approved FINRA’s proposed amendments to its Corporate Financing Rule, which are intended to modernize, simplify, and streamline the rule....more

Cohen & Gresser LLP

The SEC Proposes Amendments to the Accredited Investor Definition

Cohen & Gresser LLP on

On December 18, 2019, the SEC proposed amendments to its definition of “accredited investor” to add new categories of qualifying natural persons and entities able to participate in certain exempt offerings without specific...more

Orrick, Herrington & Sutcliffe LLP

The End of the California Legislative Session: Which CCPA Amendments Passed?

Orrick, Herrington & Sutcliffe LLP on

With the January 1, 2020 effective date of the California Consumer Privacy Act (the “CCPA”) rapidly approaching, all eyes have been on the California legislature’s consideration of a robust suite of amendments that would...more

Cadwalader, Wickersham & Taft LLP

Security-Based Swaps Meet Rule 15a-6 - Potential New Exemptions for Security-Based Swaps and SBSDs

Cadwalader, Wickersham & Taft LLP on

The Securities and Exchange Commission (the “SEC”) has proposed a number of amendments to its rules and guidance governing security-based-swaps (“SBS”) entered into by non-U.S. firms....more

Ballard Spahr LLP

Proposed Amendments to the California Consumer Privacy Act May Limit Scope of the Act

Ballard Spahr LLP on

Following the speedy enactment of the California Consumer Privacy Act (CCPA or Act) in June 2018, business and consumer advocates alike have been pressuring California lawmakers to clarify the many ambiguities raised by the...more

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