Securities and Exchange Commission (SEC), Threshold Requirements, Rulemaking Process

Raising the Bar: SEC Evaluating an Increase in Minimum AUM Threshold for Investment Adviser Registration

Proskauer - Regulatory & Compliance on 4/16/2025

On April 8, 2025, Acting SEC Chairman Mark T. Uyeda gave a speech signaling that the SEC may revisit the current minimum assets under management (“AUM”) threshold for federal registration, potentially reducing the number of...more

SEC Proposes Raising Form 13F Institutional Investment Manager Reporting Threshold to $3.5 Billion

Winstead PC on 7/16/2020

On July 10, 2020, the Securities and Exchange Commission (“SEC”) announced that it has proposed to amend Rule 13F-1 and Form 13F to raise the reporting threshold for institutional investment managers from $100 million to $3.5...more

Report on 2019 SEC Government-Business Forum on Small Business Capital Formation Released

Mayer Brown Free Writings + Perspectives on 12/9/2019

The Securities and Exchange Commission released the report from the August 2019 Government-Business Forum on Small Business Capital Formation. The Annual Forum provides an opportunity for market participants to meet and...more

SEC Proposes Amendments to the Proxy Rules Regarding Shareholder Proposals and Proxy Voting Advice

Skadden, Arps, Slate, Meagher & Flom LLP on 11/8/2019

On November 5, 2019, the Securities and Exchange Commission (SEC), by 3-2 votes, issued two releases proposing a number of amendments to the federal proxy rules. The first release proposed changes to certain procedural...more

SEC Proposes Changes to Shareholder Proposal Rules and Rules Governing Proxy Advisors

Stinson - Corporate & Securities Law Blog on 11/7/2019

At an open meeting on November 5th, SEC Commissioners voted 3-2 to propose potentially significant changes to the shareholder proposals process under Rule 14a-8 with respect to the bases upon which issuers can seek to omit...more

SEC Proposes Modifications to Cross-Border Application of Security-Based Swaps Regime

A&O Shearman on 9/4/2019

The Securities and Exchange Commission (SEC) continues to take steps toward implementation of its security-based swap (SBS) dealer registration framework. A particular area of concern for market participants has been how the...more