News & Analysis as of

Securities and Exchange Commission (SEC) Regulatory Reform

Skadden, Arps, Slate, Meagher & Flom LLP

How and When SEC Recordkeeping Rules May Apply to AI-Generated Content

AI has revolutionized the way many businesses operate. Firms in the financial sector are eager to take advantage of rapidly developing technologies but do not want to risk running afoul of relevant Securities and Exchange...more

Eversheds Sutherland (US) LLP

Dual registrant regulatory roundup - August 2024

Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more

WilmerHale

Rewarding Whistleblowers Will Only be Effective as Part of a Wider Package of Reforms

WilmerHale on

Serious Fraud Office (SFO) Director Nick Ephgrave has consistently touted the benefits of offering financial rewards to whistleblowers. With the FCA also considering its position on financial incentivisation, and a supportive...more

Skadden, Arps, Slate, Meagher & Flom LLP

Starting July 31, 2024, Large Accelerated Filers Are Required To Tag Filing Fee Exhibits Using Inline XBRL

Companies engaged in certain transactions, including registered securities offerings, tender offers, and mergers and acquisitions, are required to prepare and file a separate filing fee exhibit as part of their transactional...more

Mayer Brown Free Writings + Perspectives

Report: Reforms to Restore Confidence in the SEC

A number of trade associations (The Business Roundtable, the American Investment Council, The Center for Capital Markets Competitiveness of the US Chamber of Commerce, the Investment Company Institute, the Managed Funds...more

Bass, Berry & Sims PLC

Just In! More Guidance on Material Cybersecurity Incidents (Item 1.05 of Form 8-K)

Bass, Berry & Sims PLC on

On June 24, the Securities and Exchange Commission (SEC) released five additional Compliance and Disclosure Interpretations for Item 1.05 of Form 8-K (Material Cybersecurity Incidents). These interpretations provide...more

Orrick, Herrington & Sutcliffe LLP

RegFi Episode 36: The Intersection of AI and Securities Regulation

This week, RegFi co-hosts Jerry Buckley and Sasha Leonhardt welcome Ignacio Sandoval, a partner at Orrick and former special counsel in the SEC's Office of Chief Counsel, to explore the timely and complex subject of...more

King & Spalding

Fifth Circuit Vacates Private Fund Adviser Rules

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On Wednesday, the U.S. Court of Appeals for the Fifth Circuit (the “court”) held that the Securities and Exchange Commission (“Commission”) exceeded its statutory authority when it adopted the Private Fund Adviser Rules...more

Seward & Kissel LLP

SEC Adopts Data Privacy Rule Amendments to Regulation S-P

Seward & Kissel LLP on

Who may be interested: Investment Companies; Investment Advisers; Broker-Dealers; Transfer Agents - The SEC adopted amendments to Regulation S-P imposing new data privacy and security requirements on broker-dealers,...more

A&O Shearman

House passes Financial Innovation and Technology for the 21st Century Act

A&O Shearman on

On May 22, 2024, the U.S. House of Representatives (the “House”) passed the Financial Innovation and Technology for the 21st Century Act (“FIT21” or the “Bill”) with bipartisan support by a vote of 279-136. FIT21 provides for...more

White & Case LLP

FinCEN and SEC Move Closer to New AML Requirements for Investment Advisers & ERAs

White & Case LLP on

On May 13, 2024, FinCEN and the SEC jointly proposed a new rule that would require SEC-registered investment advisers and exempt reporting advisers to maintain written customer identification programs (CIPs). The new rule...more

Skadden, Arps, Slate, Meagher & Flom LLP

AI-Enabled Compliance: Keeping Pace With the Feds

The potential for artificial intelligence (AI) to transform business has commanded enormous attention over the past year. Little noted, however, is the U.S. government’s increasing — and increasingly sophisticated — use of AI...more

Hinckley Allen

SEC Adopts Amendments to the Internet Adviser Exemption

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On March 27, 2024, the Securities and Exchange Commission (“SEC”) adopted a final rule (the “Final Rule”) amending SEC Rule 203A-1(E) (the “Internet Adviser Exemption”) promulgated under the Investment Advisers Act of 1940,...more

White & Case LLP

SEC Modernizes Internet Adviser Rule

White & Case LLP on

On March 27, 2024, the Securities and Exchange Commission ("SEC") adopted amendments to the rule allowing internet-based investment advisers to register with the SEC instead of with states (the "internet adviser exemption")....more

Kohn, Kohn & Colapinto LLP

OECD Recommendations and U.S. Anti-Corruption Strategy Show U.S. Should Award Whistleblowers who Report to Media

Both the Organisation for Economic Co-operation and Development (OECD) and the U.S. Strategy on Countering Corruption recognize that the news media plays a vital role in the detection of bribery and other acts of corruption...more

Proskauer Rose LLP

Special Report: Primarily Non-Financial Corporate Reporting: Climate Change

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Version 2.0 following publication of the U.S. Securities and Exchange Commission (“SEC”) Climate-Related Disclosure Rules - A wave of new legislation and regulation in the U.S. and Europe has the potential to...more

Proskauer - The Capital Commitment

Top Ten Regulatory and Litigation Risks for Private Funds in 2024

To understand the litigation and regulatory risks that are coming in 2024 for private capital, it is helpful to look back briefly on recent events. Arguably, the single most important event over the last 18 months was the...more

Alston & Bird

New SEC Rule 192: Prohibition Against Conflicts of Interest in Certain Securitizations

Alston & Bird on

Our Finance Group summarizes the Securities and Exchange Commission’s finalized Rule 192 that prohibits conflicts of interest among participants in asset-backed securitizations. - The Dodd–Frank Act prohibits conflicts...more

Bass, Berry & Sims PLC

The SEC Finally Adopts Climate Change Disclosure Rules: Making Sense of 800+ Pages

After almost two years following its proposed rules, on March 6, 2024, the Securities and Exchange Commission (SEC) adopted final rules to require public companies to disclose certain climate-related information in...more

Polsinelli

Blockchain+ Bi-Weekly - February 2024 #2

Polsinelli on

The Blockchain Bi-Weekly presented by the Polsinelli Blockchain+ team is a rundown of some of the key stories in the Web3, blockchain and crypto ecosystems curated by our attorneys navigating the intersections of code, smart...more

Mayer Brown

SEC Adopts Rules to Require Registration of Certain Persons Engaging in Liquidity-Providing Activities as “Dealers” and...

Mayer Brown on

On February 5, 2024, the U.S. Securities and Exchange Commission (“SEC”) adopted new rules – SEC Rules 3a5-4 and 3a44-2 (collectively, the “Final Rules”) – to further define the phrase “as part of a regular business” used in...more

Hinckley Allen

SEC Adopts Changes to the Definition of “Dealer” and “Government Securities Dealer”

Hinckley Allen on

On February 6, 2024, the Securities and Exchange Commission (“SEC”) adopted final rules (the “Final Rules”) that will further define the phrase “as a part of a regular business” as used in the statutory definitions of...more

Mayer Brown Free Writings + Perspectives

SEC Rulemaking Trends to Watch in 2024

From climate change disclosure rules to private company transparency measures, the year ahead promises to be a busy one for securities lawyers. Just as we would tell an issuer sharing projections to accompany those with...more

Robinson & Cole LLP

SEC Adopts Final Rules Related to SPAC IPOs and DeSPAC Transactions

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On January 24, 2024, the U.S. Securities and Exchange Commission (SEC) adopted final rules (the “Final Rules”) related to special purpose acquisition companies (SPACs) and de-SPAC transactions.[1] The Final Rules are intended...more

Sullivan & Worcester

2024 Investment Adviser Regulatory and Compliance Annual Letter

Sullivan & Worcester on

In 2024, investment advisers – those registered with the U.S. Securities and Exchange Commission (SEC) and those that file notices as exempt reporting advisers - will continue to feel the impact of the SEC’s recent rule...more

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