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Capital Markets › Regulatory Agenda › Investor Protection

Latham & Watkins LLP

SEC Explores Regulatory Changes to Make It Easier to Raise Capital, Invest in Private Funds, and Be a Public Company

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The Acting SEC Chairman announced regulatory priorities designed to help companies raise capital, widen investment options available to retail investors, and reduce regulatory burdens on smaller public companies....more

Mayer Brown Free Writings + Perspectives

Acting Chair Uyeda on SEC’s Priorities

Mayer Brown Free Writings + Perspectives on

Members of the US Securities and Exchange Commission (the “Commission”) continue to share their views about the Commission’s current priorities, and Monday was Acting Chairman Mark Uyeda’s turn.  Speaking at the Florida Bar’s...more

A&O Shearman

Navigating the Retail Investment Strategy Directive

A&O Shearman on

The Retail Investment Strategy Directive (“RISD”) aims to enhance investor protection in order to foster retail investors' participation to the financial market and improve overall market efficiency. By ensuring that...more

Mayer Brown Free Writings + Perspectives

SEC Publishes FY22-26 Strategic Plan

Mayer Brown Free Writings + Perspectives on

On November 23, 2022, the SEC released its strategic plan for fiscal years 2022 to 2026. The plan focuses on three goals: protect the investing public against fraud, manipulation, and misconduct; develop and implement a...more

Jones Day

Comment Letter Submitted on SEC’s Proposed Climate-Related Disclosure Rules

Jones Day on

We believe our proposed changes support all market participants' common objectives of investor protection and fair and efficient capital markets. ...more

Stikeman Elliott LLP

CSA Seek Comments on Proposed Consolidated SRO and Investor Protection Funds

Stikeman Elliott LLP on

Canadian Securities Administrators (CSA) issue a request for comments on draft documents related to the proposed amalgamation of the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers...more

Polsinelli

SEC Division of Examinations Announces 2022 Examination Priorities

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Each year, the U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (Division) prioritizes the examination of certain practices, products and services that it believes present potentially heightened risks...more

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