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Rulemaking Process › Proposed Amendments › Investment

Carlton Fields

SEC Solicits Public Comment on Definition of “Foreign Private Issuer”

Carlton Fields on

The Securities and Exchange Commission (SEC) published a concept release on June 4, 2025, seeking feedback on whether the SEC should amend the definition of “foreign private issuer” (FPI). In the release, the SEC asks whether...more

Cozen O'Connor

SEC Invites Feedback to Foreign Private Issuer Eligibility Rules

Cozen O'Connor on

On June 4, 2025, the U.S. Securities and Exchange Commission (SEC) issued a Concept Release, seeking public feedback on whether the nearly half-a-century-old definition of foreign private issuer (FPI) and the reporting...more

Proskauer - Blockchain and the Law

Regulation in the Post-FTX Environment: SEC’s Proposed Enhanced Custody Rule and Its Effects on Crypto

Proskauer - Blockchain and the Law on

When it rains, it pours. On January 23, 2023, the New York Department of Financial Services announced that it had issued certain Guidance on Custodial Structures for Customer Protection in the Event of Insolvency in which it...more

Herbert Smith Freehills Kramer

FINRA Proposes Amendments to the Capital Acquisition Broker Rules

Herbert Smith Freehills Kramer on

On Jan. 30, 2020, the Financial Industry Regulatory Authority (FINRA) proposed amendments to the Capital Acquisition Broker (CAB) rules to expand the range of permitted activities for CABs and their associated persons. ...more

Troutman Pepper Locke

SEC Proposes to Amend Advertising and Client Solicitation Rules

Troutman Pepper Locke on

In November 2019, the Securities and Exchange Commission released proposed amendments to Rule 206(4)-1 (Advertising Rule) under the Investment Advisers Act of 1940 (Advisers Act). The Advertising Rule was first adopted in...more

Seyfarth Shaw LLP

SEC Votes to Propose Amendments to the Definition of an Accredited Investor

Seyfarth Shaw LLP on

The U.S. Securities and Exchange Commission voted 3-2 on Wednesday to propose amendments to its current definition of an “accredited investor.” The depression-era definition historically limited certain types of private...more

Polsinelli

SEC Proposes Expanding the Definitions of “Accredited Investor” and “Qualified Institutional Buyer”

Polsinelli on

On December 18, the U.S. Securities and Exchange Commission (“SEC”) issued a proposal to update the definition of “accredited investor” pursuant to Rule 506 of Regulation D under the Securities Act of 1933 (“Securities Act”)...more

Herbert Smith Freehills Kramer

SEC Accredited Investor Proposal Could Yield New Product Opportunities for Private Fund Managers

Herbert Smith Freehills Kramer on

On Dec. 18, 2019, the Securities and Exchange Commission (SEC or Commission) proposed amendments to broaden the definition of “Accredited Investor” under Regulation D to cover a broader group of investors, including adding...more

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