News & Analysis as of July 29, 2025

Intermediaries

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A reminder on SFC market sounding guidelines for block trades (Hong Kong)

Hogan Lovells on 4/8/2025

The Securities and Futures Commission (SFC) of Hong Kong has introduced new guidelines on market soundings, which are set to take effect on 2 May 2025. The guidelines aim to enhance transparency and ensure the integrity of...more

SEC Adopts Final Auditor Independence Loan Rule

Faegre Drinker Biddle & Reath LLP on 7/9/2019

On June 18, 2019, the Securities and Exchange Commission (“SEC”) adopted final amendments to Rule 2-01(c)(1)(ii)(A) of Regulation S-X (the “Loan Rule”) to clarify the analysis that must be conducted to determine whether an...more

Following the Wisdom of the Crowd? A Look at the SEC’s Final Crowdfunding Rules

Morrison & Foerster LLP on 11/2/2015

In this alert, we provide a detailed overview of the final rules, Regulation Crowdfunding, which will be applicable to crowdfunding offerings conducted in reliance on Section 4(a)(6) of the Securities Act of 1933 as amended...more

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Disclosure Requirements › Policies and Procedures › Intermediaries

A reminder on SFC market sounding guidelines for block trades (Hong Kong)

SEC Adopts Final Auditor Independence Loan Rule

Following the Wisdom of the Crowd? A Look at the SEC’s Final Crowdfunding Rules

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