News & Analysis as of

Securities and Exchange Commission (SEC) › Swaps › Securities Exchange Act of 1934

Mayer Brown Free Writings + Perspectives

SEC Adopts Amendments Mandating Certain Exchange Act Filings and Submissions to be Made Electronically; Also Adopts Technical...

Mayer Brown Free Writings + Perspectives on

On December 16, 2024, the Securities and Exchange Commission (“SEC”) adopted amendments (the “Amendments”) requiring the electronic filing, submission, or posting of certain forms required under the Securities Exchange Act of...more

Proskauer - Regulatory & Compliance

Proskauer Hedge Fund Trading Guide 2024 – Chapter 3: Special Issues under Sections 13(d) and 16 for Hedge Funds

Proskauer - Regulatory & Compliance on

Proskauer’s Practical Guide to the Regulation of Hedge Fund Trading Activities offers a concise, easy-to-read overview of the trading issues and questions we commonly encounter when advising hedge funds and their managers. It...more

Katten Muchin Rosenman LLP

SEC Swaps the Game: New Rules to Combat Fraud, Manipulation and CCO Undue Influence

Katten Muchin Rosenman LLP on

The Securities Exchange Commission (SEC) adopted two new rules on June 7 aimed at preventing fraud and manipulation specific to security-based swap (SBS) transactions and the entities that trade them, including a unique rule...more

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