Steffen Hemmerich

Steffen Hemmerich

Mayer Brown

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SEC Formally Withdraws Various Proposed Rules

The Securities and Exchange Commission (SEC) formally withdrew the following proposed Gensler era rulemakings: Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule...more

6/16/2025  /  Cybersecurity , Financial Regulatory Reform , Investment Advisers Act of 1940 , Proposed Rules , Regulatory Reform , Rulemaking Process , Securities and Exchange Commission (SEC) , Securities Exchange Act , Shareholder Proposals , Withdrawal

SEC Rule Proposal Seeks to Clarify “Dealer” Definition for Persons Engaging in Liquidity-Providing Activities

Proposed Rules Could Require Dealer Registration by Certain Principal Trading Firms, Private Funds, Investment Advisers and Other Market Participants - On March 28, 2022, the U.S. Securities and Exchange Commission (“SEC”)...more

4/21/2022  /  Dealers , Market Participants , Proposed Rules , Regulatory Agenda , Regulatory Requirements , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Regulation , Securities Transactions
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