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Securities Exchange Act › Securities and Exchange Commission (SEC)

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 -
Ropes & Gray LLP

SEC Staff Updates Guidance on Rule 701 Offering Exemption, Ineligible Issuer Status, and Smaller Reporting Company Status

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On March 6, 2026, the staff of the SEC’s Division of Corporation Finance issued new and revised Compliance & Disclosure Interpretations (C&DIs) primarily addressing (i) exemptions for offers and sales of securities pursuant...more

Fenwick & West LLP

SEC CDI Updates for March 2026

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On March 6, 2026, the SEC released updated Compliance and Disclosure Interpretations (CDIs) related to Rule 701, Rule 405, CIK codes, and smaller reporting company (SRC) status. Key takeaways are summarized below....more

Mayer Brown Free Writings + Perspectives

FAQs on Timing of Initial Section 16(a) Reporting for Directors and Officers of Foreign Private Issuers

Mayer Brown Free Writings + Perspectives on

On March 9, 2026, the staff of the Division of Corporation Finance of the Securities and Exchange Commission published a short series of FAQs on the timing of initial Section 16(a) reports by directors and officers of certain...more

BakerHostetler

Weekly Blockchain Blog - February 2026 #4

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Digital Asset Firms, Fintechs and Banks Announce Stablecoin Initiatives - A digital assets-focused affiliate of a major U.S. fintech company recently announced that it “has received conditional approval from the Office of...more

Mayer Brown Free Writings + Perspectives

No-Action Letter on “Group” Reporting under Section 13(d) and 13(g) for Parties to OTC Derivatives Contracts

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On January 23, 2026, the staff of the Division of Corporation Finance of the U.S. Securities and Exchange Commission issued a letter in which it stated it would not object if a large investment bank (the “Bank”) determines...more

Goodwin

Nasdaq Proposes Immediate Delisting for Companies Below $5 Million Market Value

Goodwin on

On January 26, 2026, The Nasdaq Stock Market (Nasdaq) filed a rule proposal with the Securities and Exchange Commission (SEC) that would permit the immediate suspension and delisting of a company listed on the Nasdaq Global...more

Jones Day

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

Jones Day on

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]

Cozen O'Connor on

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

Cooley LLP on

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

Cooley LLP on

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

BakerHostetler on

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

Venable LLP on

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

Latham & Watkins LLP on

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

Goodwin

It is Time to Revisit Regulation A

Goodwin on

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

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

Cooley LLP on

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

Jones Day on

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

Skadden, Arps, Slate, Meagher & Flom LLP on

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

Nutter McClennen & Fish LLP on

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

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