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Financial Regulatory Reform › Threshold Requirements › Securities and Exchange Commission (SEC)

Proskauer - Regulatory & Compliance

Raising the Bar: SEC Evaluating an Increase in Minimum AUM Threshold for Investment Adviser Registration

Proskauer - Regulatory & Compliance on

On April 8, 2025, Acting SEC Chairman Mark T. Uyeda gave a speech signaling that the SEC may revisit the current minimum assets under management (“AUM”) threshold for federal registration, potentially reducing the number of...more

A&O Shearman

SEC Proposes Modifications to Cross-Border Application of Security-Based Swaps Regime

A&O Shearman on

The Securities and Exchange Commission (SEC) continues to take steps toward implementation of its security-based swap (SBS) dealer registration framework. A particular area of concern for market participants has been how the...more

Stinson - Corporate & Securities Law Blog

NYSE Revises Shareholder Approval Rules for Certain Issuances of Securities

Stinson - Corporate & Securities Law Blog on

The SEC has approved amendments to Sections 312.03 and 312.04 of the NYSE Listed Company Manual that modify the price requirements for certain exceptions to shareholder vote requirements related to issuances of securities set...more

Stinson - Corporate & Securities Law Blog

Treasury Issues Plan to Streamline Capital Markets Regulation

Stinson - Corporate & Securities Law Blog on

Pursuant to Executive Order 13772, the Treasury Department has issued a report that identifies laws, treaties, regulations, guidance, reporting and record keeping requirements, and other government policies that promote or...more

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