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Securities Exchange Act

The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +
The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange Commission (SEC), which is the primary regulatory agency enforcing federal securities laws. less -
A&O Shearman

Southern District Of New York Declines To Dismiss Putative Class Action Against Dental Product Company

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On January 16, 2026, Judge Naomi Reice Buchwald of the United States District Court for the Southern District of New York largely denied a motion to dismiss a putative class action asserting claims under the Securities...more

Jones Day

SEC Enforcement in Financial Reporting and Disclosure: Fiscal 2025 Year-End Update

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Financial reporting and disclosure enforcement is a perennial priority for the U.S. Securities and Exchange Commission (“SEC”), but the change in presidential administrations in January 2025 ushered in a potentially new...more

Cozen O'Connor

Directors and Officers of Foreign Private Issuers Soon Subject to Section 16(a) Reporting [Alert]

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With the National Defense Authorization Act for 2026 (the NDAA) signed into law on December 18, 2025, directors and officers (also referred to as insiders) of Foreign Private Issuers (FPIs) with equity securities registered...more

Cooley LLP

SEC Public Companies Enforcement: FY 2025 Review and What to Expect in 2026

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When Paul Atkins became the new chairman of the Securities and Exchange Commission (SEC) in April 2025, the market expected enforcement actions against public companies to decrease....more

Skadden, Arps, Slate, Meagher & Flom LLP

Foreign Private Issuers’ D&Os Will No Longer Be Exempt From Section 16(a) Insider Reporting Obligations

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On December 18, 2025, as part of the FY 2026 National Defense Authorization Act, the Holding Foreign Insiders Accountable Act (HFIAA) was signed into law....more

Cooley LLP

FPI Insiders Required to File Section 16 Reports: Five Things to Know

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As I recently blogged, the defense spending bill that has now been passed by both the House and the Senate includes a provision – the “Holding Foreign Insiders Accountable Act” – that President Trump signed into law last...more

BakerHostetler

Weekly Blockchain Blog - December 2025

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Crypto Firms Announce New Licenses, Products; USDT Stability Rating Lowered - On Nov. 25, MoonPay, a crypto payments company, announced that its newly established trust company obtained a trust charter from the New York...more

Venable LLP

SEC Staff Confirms Personal-Services Entities May Receive Transaction-Based Compensation Without Broker-Dealer Registration

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On November 17, 2025, the Division of Trading and Markets (the “Staff”) of the Securities and Exchange Commission (SEC) issued a no-action letter allowing a personal-services entity (PSE) to receive transaction-based...more

Latham & Watkins LLP

SEC Announces Changes to Rule 14a-8 Shareholder Proposal Process

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On November 17, the SEC’s Division of Corporation Finance announced a major shift in how the SEC Staff handles requests to exclude shareholder proposals. ...more

A&O Shearman

Southern District Of New York Denies Leave To Amend Putative Securities Class Action Complaint Against Software Company

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On November 7, 2025, Judge John G. Koeltl of the United States District Court for the Southern District of New York denied a motion for leave to amend a putative securities class action complaint asserting claims against a...more

Goodwin

It is Time to Revisit Regulation A

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The SEC (U.S. Securities and Exchange Commission) and Congress can provide investors with increased access to emerging companies that historically have raised capital from institutional investors in private markets and can...more

Womble Bond Dickinson

SEC Alters Shareholder Proposal Landscape

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On November 17, 2025, the Division of Corporation Finance (the “Division”) of the Securities and Exchange Commission (the “SEC”) issued a statement announcing a seismic change to its review of shareholder proposals for the...more

A&O Shearman

Northern District Of Illinois Denies FTC’s Request To Block GTCR Acquisition Of Surmodics

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On November 10, 2025, U.S. District Judge Jeffrey Cummings of the Northern District of Illinois (“N.D. Ill.”) issued an oral decision declining to block GTCR BC LLC’s (“GTCR”) proposed $627 million acquisition of Surmodics,...more

Ropes & Gray LLP

Shutdown Aftermath: SEC Staff to Consider Only Shareholder Proposal No-Action Requests Challenging Propriety of Proposals under...

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The Division of Corporation Finance (the “Division”) of the Securities and Exchange Commission (the “SEC”) released a statement today indicating that it will not respond to no-action requests by companies seeking to exclude...more

Cooley LLP

SEC Changes Course, Concludes Mandatory Arbitration Provisions Do Not Conflict With Federal Securities Laws

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The US Securities and Exchange Commission (SEC) recently changed its longstanding position disfavoring the inclusion of certain mandatory arbitration provisions in corporate certificates of incorporation or bylaws. As Chair...more

Jones Day

Preparing for an Evolving Shareholder Proposal Landscape

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This White Paper examines how recent commentary from U.S. Securities and Exchange Commission Chairman Paul Atkins signals a greater role for state law in defining shareholders’ ability to place proposals on company proxy...more

Skadden, Arps, Slate, Meagher & Flom LLP

Glass Lewis To End Benchmark Proxy Voting Policy: What Companies Should Know

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Major proxy advisory firm Glass Lewis announced that it will stop offering its standard benchmark proxy voting guidelines in 2027, and transition clients to differentiated client frameworks. Glass Lewis’ change comes amid a...more

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: October 1, 2025

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The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more

Latham & Watkins LLP

SEC Shutdown: 10 FAQs About Removing the Delaying Amendment

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It appears that the US Government shutdown is going to last for a bit. Market participants are accordingly asking what options are available to get pending deals across the finish line while the SEC is not able to declare...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Guidance to Registrants Navigating the Government Shutdown

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On September 30, 2025, the staff of the SEC’s Division of Corporation Finance published a summary of the impact of the government shutdown on the Division’s operations, along with guidance for registrants who have or expect...more

Morrison & Foerster LLP

Top 5 SEC Enforcement Developments for August 2025

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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: • Recent SEC activity pursuing alleged fraud in the...more

Alston & Bird

Still in Range: SEC Launches Cross-Border Task Force to Target Foreign Issuers and Gatekeepers

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The SEC’s new cross-border task force signals the agency’s heightened scrutiny of foreign issuers and their gatekeepers, with a focus on transnational fraud schemes involving Chinese companies. Our White Collar, Government &...more

Foley & Lardner LLP

Insider Trading Likely a Continued Focus for SEC Enforcement

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With last year’s change in administration, the appointment of Securities and Exchange Commission (SEC or the “Agency” or “Commission”) Chairman Paul Atkins, and Judge Ryan being named as enforcement director, there is much...more

Clark Hill PLC

The Trump Administration's crypto regulatory roadmap takes shape

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The government just gave us a clearer picture of where crypto regulation is headed under the new Trump administration. On Sept. 4, the Office of Management and Budget released its Spring 2025 Unified Agenda, which is...more

Ropes & Gray LLP

Ropes & Gray’s Investment Management Update July – August 2025

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The following summarizes recent legal developments of note affecting the investment management industry: On August 25, 2025, the U.S. Court of Appeals for the Fifth Circuit issued its decision regarding a challenge by...more

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