News & Analysis as of

Securities and Exchange Commission (SEC) › Reporting Requirements › Data Collection

Katten Muchin Rosenman LLP

SEC Signals Reevaluation of CAT Reporting Amid Broader Transparency and Regulatory Reform Efforts

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Securities and Exchange Commission (SEC) Chairman Paul S. Atkins recently directed SEC staff to conduct a review of the Consolidated Audit Trail (CAT), focusing on the escalating costs, reporting requirements, and...more

Carlton Fields

Going Up: SEC Cyber Incident Reporting - Regulation S-P Amendments Take It to Next Level

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On May 16, 2024, the SEC breathed new life into its decades-old Regulation S-P, which requires firms to adopt policies and procedures for the protection of customer information and records. The amended rule balloons the...more

NAVEX

SEC Rule or Not, Keep Your Eye on the Climate Change Ball

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The U.S. Securities and Exchange Commission recently announced that its long-awaited greenhouse gas disclosure rule will be delayed yet again, most likely until April 2024. This raises an important question for compliance and...more

Foley Hoag LLP

FBI and CISA Issue Advisory on Scattered Spider Ransomware Attacks

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Large companies holding sensitive data – including financial services, telecommunications, business process outsourcing, hospitality, and cryptocurrency firms – as well as their IT helpdesks, are increasingly being targeted...more

Morrison & Foerster LLP

Top 5 SEC Developments (October 2023)

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Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month we examine: • Fraud and internal control failure charges against...more

J.S. Held

Crosscurrents: J.S. Held’s Environmental, Social & Governance Observations

J.S. Held on

Environmental, Social and Corporate Governance (“ESG”) data collecting and reporting are among the fastest changing, most highly watched, and most complicated corporate obligations today. Interestingly, in the United States,...more

Goodwin

Financial Services Weekly News - October 2015 #3

Goodwin on

Regulatory Developments: FINRA Requests Comment on Rules Relating to Financial Exploitation of Vulnerable Adults - On Oct. 15 FINRA published Regulatory Notice 15-37, requesting comment on proposed amendments to...more

Eversheds Sutherland (US) LLP

FERC Proposes Expansive “Connected Entity” Reporting Requirement

Eversheds Sutherland (US) LLP on

The Federal Energy Regulatory Commission (FERC) has proposed requiring the operators of centralized wholesale power markets to collect and provide to FERC a broad range of market participant data, including (i) each market...more

Morrison & Foerster LLP

SEC Proposes Heightened Data and Reporting Rules for Funds and Advisers, Ponders New Rules on Derivatives and Leverage

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At an open meeting of the Securities and Exchange Commission today, Chair Mary Jo White announced to enhance SEC reporting by investment companies and investment advisers. Data collection. The SEC proposed rules that...more

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