News & Analysis as of

New Rules Securities and Exchange Commission (SEC) New Regulations

Pillsbury Winthrop Shaw Pittman LLP

EDGAR Next Implements Significant System Updates

System updates include improved security measures and features to enhance filers’ ability to manage their EDGAR accounts, as well as important changes to current processes, which filers should begin reviewing now to ensure a...more

Foley Hoag LLP

SEC Short Sale Disclosure Rules & Upcoming Compliance Date

Foley Hoag LLP on

On October 13, 2023, the SEC adopted Rule 13f-2 and related Form SHO pursuant to the Securities Exchange Act of 1934 (the “Exchange Act”). Rule 13f-2 seeks to address Congress’ directive under Section 929X of the Dodd-Frank...more

Baker Donelson

[Webinar] New Privacy and Cybersecurity Regulations: What Financial Institutions Need to Know to Stay Compliant - June 13th, 10:00...

Baker Donelson on

The financial services industry has seen a litany of new data privacy and cybersecurity challenges through the first half of 2024. Financial institutions are facing unprecedented compliance hurdles resulting from the...more

Foley & Lardner LLP

The Not-So-Wild West of AI Regulation

Foley & Lardner LLP on

Over the past year, we have seen the various agencies and branches of government issue a slew of rules, guidance, and directives over the use (and misuse) of Artificial Intelligence (AI). In May, the EEOC issued guidance on...more

DarrowEverett LLP

How SEC’s Private Fund Rules Will Affect Use of Side Letters

DarrowEverett LLP on

Recent client alerts have provided an overview of the new “private fund rules” adopted in late August by the U.S. Securities and Exchange Commission (SEC). These rules apply, subject to limited exceptions and carveouts, to...more

Foley & Lardner LLP

Preparing for Fast Changing Rules and Regulations

Foley & Lardner LLP on

Today, there seems to be a constant stream of changing rules and regulations for companies to keep up with. This dynamic regulatory environment can be increasingly difficult for emerging companies to navigate, particularly...more

BCLP

Through the Issuance of New Rules Aimed at Recidivist Brokers and the Firms That Hire Them, FINRA Loudly Exclaims to its...

BCLP on

Key Takeaways:  ..After years of warning firms of the need for enhanced diligence in retaining or hiring brokers with a significant history of misconduct, FINRA has adopted new rules to address such brokers. ..As set...more

Foley Hoag LLP - Global Business and Human...

SEC Issues Controversial New Rule on Payment Transparency in the Natural Resource Sector

On December 16, 2020, the Securities and Exchange Commission issued a new regulation that revises and reinstitutes a previously-repealed SEC regulation to implement Section 1504 of the Dodd-Frank Act. The new rule is the...more

White and Williams LLP

The Big Change in Cybersecurity Regulation That No One Is Talking About

White and Williams LLP on

The close of 2019 witnessed a significant development in data security law that impacts companies regulated with respect to or engaged in the trading of public securities, as well as those companies that provide services to...more

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