Albert: So, to set the stage here, my name is Albert Vanderlaan. I am the head of the capital markets group here at Orrick. I'm really pleased to be joined today by Robert Leshner, the CEO and co-founder of Superstate. I...more
The Corporate Transparency Act (CTA) is back in effect − at least for now − and companies covered by the CTA are once again required to file beneficial ownership information (BOI) reports with FinCEN. On February 17, 2025, in...more
The SEC has approved FINRA's 6500 rule series, which governs the Securities Lending and Transparency Engine (SLATE). The rules require some financial institutions to report securities loans to FINRA. They also require the...more
Absent SEC or court action, institutional investment managers that meet or exceed certain thresholds face a February 14 deadline to file the first reports with the SEC on Form SHO. Form SHO, which was adopted with Rule 13f-2...more
The Securities and Exchange Commission (SEC) has granted a partial stay of the amendments to Rules 610 and 612 of Regulation NMS. The SEC’s December 12 order came in response to a motion filed by Nasdaq and Cboe, among...more
The SEC voted unanimously to adopt changes to Regulation NMS (Reg. NMS) that address minimum pricing increments for securities, the access fees that securities exchanges charge, and increased transparency order prices....more
The U.S. Supreme Court has ruled that defendants in securities fraud cases brought by the SEC are entitled by the Seventh Amendment to have the SEC’s claims for civil money penalties decided by a jury and not in an...more
8/28/2024
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Administrative Proceedings ,
Article III ,
Civil Monetary Penalty ,
Enforcement Actions ,
Jury Trial ,
Public Rights Doctrine ,
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SEC v Jarkesy ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Seventh Amendment
The Fifth Circuit Court of Appeals has vacated a Securities and Exchange Commission rule that represented one of the most significant changes to regulating private funds and private fund advisers since 2010....more
This week, RegFi co-hosts Jerry Buckley and Sasha Leonhardt welcome Ignacio Sandoval, a partner at Orrick and former special counsel in the SEC's Office of Chief Counsel, to explore the timely and complex subject of...more
The Securities and Exchange Commission (SEC) has amended its privacy rule – Regulation S-P – to establish a federal minimum standard for covered institutions to notify affected individuals of a data breach....more