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Securities and Exchange Commission (SEC) › Reporting Requirements › Debt Securities

WilmerHale

SEC Approves FINRA Rules to Establish Securities Lending Reporting Facility

WilmerHale on

On January 2, 2025, the Securities and Exchange Commission (SEC) approved the FINRA Rule 6500 Series (the SLATE Rules), which establishes the Securities Lending and Transparency Engine (SLATE), a new facility for the...more

Goodwin

New Proxy Voting Reporting Requirements For Investment Managers For 2023-24 Annual Meeting Season

Goodwin on

On November 2, 2022, the U.S. Securities and Exchange Commission (SEC) announced the adoption of amendments to Form N-PX and related rules to extend public company stockholder vote disclosure filing requirements beyond...more

Eversheds Sutherland (US) LLP

SEC adopts rules requiring the reporting of securities loans and the disclosure of short sales

Eversheds Sutherland (US) LLP on

On October 13, 2023, the Securities and Exchange Commission (SEC) adopted new Rule 10c-1a under the Securities Exchange Act of 1934, as amended (1934 Act), requiring certain persons to report securities loan information to...more

Morgan Lewis

FINRA Seeks to Expand Reporting Requirements for Transactions in TRACE-Eligible Securities

Morgan Lewis on

The Financial Industry Regulatory Authority recently filed two rule proposals—SR-FINRA-2022-011 and SR-FINRA-2022-013—with the US Securities and Exchange Commission and issued Regulatory Notice 22-12 in an effort to expand...more

Pillsbury Winthrop Shaw Pittman LLP

SEC Amends Disclosure Requirements for Guaranteed Securities

Pillsbury Winthrop Shaw Pittman LLP on

The amendments will become effective on January 4, 2021, with earlier compliance permitted. The amendments focus on providing material financial and non-financial information regarding guarantees and other credit...more

Katten Muchin Rosenman LLP

SEC Proposes Rules to Modernize and Enhance Information Reported by Investment Companies and Investment Advisers

Katten Muchin Rosenman LLP on

On May 20, the Securities Exchange Commission proposed changes to rules affecting the reporting and disclosure obligations of registered investment companies and advisers. Investment Company Proposals: The SEC...more

Stinson - Corporate & Securities Law Blog

Summary Of Proposed Amendments To Regulation A

Stinson - Corporate & Securities Law Blog on

On December 18, 2013, the SEC published its proposal to modify Regulation A. The SEC is proposing to expand Regulation A into two tiers: Tier 1, for offerings of up to $5 million; and Tier 2, for offerings of up to $50...more

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