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Capital Markets › Insider Trading › Securities Regulation

Latham & Watkins LLP

EU Listing Act - Regulatory Divergence Between EU and UK MAR

Latham & Watkins LLP on

Until recently, the UK and EU post-Brexit market abuse regimes remained substantially aligned. However, the passing of the EU Listing Act reforms in 2024 has meant that UK and EU MAR have started to diverge meaningfully for...more

Moore & Van Allen PLLC

“EU Listing Act Introduces Exemptions Allowing Insiders to Trade During Blackout Periods.”

Moore & Van Allen PLLC on

On November 14, 2024, the EU Listing Act (the “Listing Act”) was published in the Official Journal of the European Union. The Listing Act entails a legislative package designed to improve capital markets access and enhance...more

Mayer Brown

What’s the Deal? – Rule 10b5-1 Plans

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Here’s the deal: A Rule 10b5‐1 plan is a written securities trading plan that is designed to comply with Rule 10b5‐1(c) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”)....more

Bass, Berry & Sims PLC

[Webinar] 5th Annual Corporate & Securities Counsel Public Company Forum - December 12th, 11:00 am - 3:00 pm CST

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Please join us for our 5th Annual Corporate & Securities Counsel Public Company Forum. This virtual half-day program will feature panel discussions focused on timely and practical guidance related to the latest developments...more

Jones Day

Consultation Conclusions on Proposed Amendments to Enforcement-Related Provisions of Hong Kong's SFO

Jones Day on

On 8 August 2023, the Securities and Futures Commission of Hong Kong ("SFC") published consultation conclusions on proposed amendments to enforcement-related provisions of the Securities and Futures Ordinance ("SFO")....more

Nelson Mullins Riley & Scarborough LLP

The Latest News Affecting the Capital Markets

Nelson Mullins Riley & Scarborough LLP on

Quick Hitters - On December 15, 2021, the SEC (i) proposed amendments to address “potentially abusive practices” by corporate insiders related to 10b5-1 trading arrangements, grants of options and other similar equity...more

Wyrick Robbins Yates & Ponton LLP

SEC Issues Proposed Rules on Rule 10b5-1 Plans and Insider Trading

Wyrick Robbins Yates & Ponton LLP on

On December 15, 2021, the Securities and Exchange Commission (“SEC”) proposed amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 (the “Exchange Act”).  Comments to the proposal are due within 45 days after...more

Akin Gump Strauss Hauer & Feld LLP

SEC Continues to Scrutinize Rule 10b5-1 Plans

Akin Gump Strauss Hauer & Feld LLP on

Gary Gensler, Chair of the U.S. Securities and Exchange Commission (SEC), has asked the Commission staff to consider updates to Rule 10b5-1 in an effort to “address cracks” in the current insider trading regime and otherwise...more

Mayer Brown Free Writings + Perspectives

House Financial Services Committee and House of Representatives Address Capital Formation Related Bills

Mayer Brown Free Writings + Perspectives on

This past week, the House Financial Services Committee considered and passed a few bills that would, if passed by the House, result in changes to the securities laws. ...more

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