Popular, Securities and Exchange Commission (SEC), Investors

SEC Could Broaden Path to Private Equity Fund of Funds Investment

DarrowEverett LLP on 7/14/2025

Since the enactment of the Investment Company Act 85 years ago, the asset management industry has grown from $2 billion in assets to more than $39 trillion in assets. Under existing Securities and Exchange Commission (“SEC”)...more

A New Chapter for the SEC: A Philosophical Shift on Shareholder Engagement, Shareholder Proposals, and ESG

Cohen & Gresser LLP on 3/11/2025

Only a short time has elapsed since President Trump named Mark T. Uyeda as Acting Chair of the Securities and Exchange Commission (“SEC”) on January 21, 2025. Already, however, the regulatory climate has shifted significantly...more

Executive Compensation Under the New Administration

Vinson & Elkins LLP on 1/9/2025

President-elect Donald Trump’s impending return to power on January 20, 2025, has created uncertainty and challenges for proxy advisory firms, such as ISS and Glass Lewis, which provide voting recommendations to investors on...more

SEC Reporting Update - December 2024

Snell & Wilmer on 12/31/2024

Insider Trading Policies. As previously discussed in our Winter 2022-2023 Corporate Communicator, the Securities and Exchange Commission (“SEC”) adopted final rules in December 2022 relating to insider trading policy...more

Summarizing the SEC’s 2025 Examination Priorities Report, Part 2

Cozen O'Connor on 11/22/2024

In the second part of this legal update series, we summarize the key takeaways from the Division of Examinations’ (Division) 2025 priorities report released on October 21, 2024. The Division remains focused on mainstays like...more

Close, but No Cigar: Ensuring Accuracy in Public Disclosures

Woodruff Sawyer on 10/10/2024

A recent enforcement action by the Securities and Exchange Commission (SEC) highlights the risks companies face when public disclosures may be viewed as misleading or fail to account for updated information....more

Investors and Regulators Demand Climate Disclosures, but Companies Should Beware of Greenwashing Claims

Husch Blackwell LLP on 9/11/2024

Pressure from consumers, investors, and regulators to provide climate, environmental, and sustainability disclosures is increasing, but it is important for companies to ensure such disclosures are accurate, verifiable, and...more

The Download: Do I need to make money to go public?

Orrick, Herrington & Sutcliffe LLP on 8/7/2024

01 Do I need to make money to go public?02 A new M&A playbook in the age of AI03 Cyber enforcement forecast post-SolarWinds decision04 Cyber diligence for IPOs with Kroll’s CISO05 The Download Quiz: Venture capital trends...more

Stablecoins Unlikely to Be Subject to the SEC’s Jurisdiction

Goodwin on 7/29/2024

The recent decision in Securities and Exchange Commission v. Binance Holdings Limited et al (Binance) has cast further doubt on the Securities and Exchange Commission’s (SEC’s) pursuit of jurisdiction over stablecoins....more

Oversight of climate disclosures: SEC stay doesn’t mean stop

KPMG Board Leadership Center (BLC) on 7/9/2024

Despite the sense of relief that many companies initially felt with the SEC’s stay of its climate disclosure rules, the pause is unlikely to temper the forces demanding climate disclosures by other means. In the latest paper...more

DOL Removes Restrictions on Recommendations of Principal Traded Assets from Prohibited Transaction Exemption 2020-02

Morgan Lewis on 7/5/2024

The US Department of Labor (DOL) amended Prohibited Transaction Exemption 2020-02 (PTE 2020-02) to provide relief for recommendations of all types of principal trades. This change, effective September 23, 2024 and subject to...more

SEC Climate Disclosure Rule: Timing Uncertain as Legal Challenges Move to Eighth Circuit

Wiley Rein LLP on 3/27/2024

The U.S. Securities and Exchange Commission (SEC) faces an uncertain timeline to implement its new climate disclosure rule, as nine legal challenges have now been transferred to the U.S. Court of Appeals for the Eighth...more

FinCEN’s Proposed Rule to Regulate Investment Advisers: The Questions Industry Should Be Following

Pillsbury Winthrop Shaw Pittman LLP on 3/15/2024

FinCEN is focused on customer due diligence, and both the 2024 Investment Adviser Risk Assessment and proposed rule indicate that investment advisers will be expected to assess customer identity, business model, and sources...more

SEC Adopts Scaled-Back Version of Its Proposed Climate Risk Rules

Alston & Bird on 3/11/2024

Our Securities and Environmental, Social & Governance (ESG) teams examine the Securities and Exchange Commission’s final rules on what kinds of climate-related risks companies need to disclose to investors....more

Increase in Securities Litigation and Regulatory Scrutiny Concerning Artificial Intelligence

Patterson Belknap Webb & Tyler LLP on 3/6/2024

Several recent lawsuits, and comments by the U.S. Securities and Exchange Commission (“SEC”) and Federal Trade Commission (“FTC”), underscore the increasing litigation and regulatory scrutiny concerning the use of artificial...more

SPACs Poised to Turn a Corner in 2024: Annual Risk Update

Woodruff Sawyer on 2/23/2024

Here we are again—another year of SPAC ennui. We’re hearing derisive comments about the death of SPACs, unending deadline extensions, almost 200 liquidations, 70 deal terminations, and general SPAC malaise. If you’ve followed...more

SEC approves Spot Bitcoin ETP, opening new pathway to Bitcoin investment

A&O Shearman on 1/31/2024

In a milestone for the crypto industry, on January 10, 2024, the U.S. Securities and Exchange Commission (the “SEC”) approved the listing and trading of a number of spot bitcoin exchange-traded product (“ETP”) shares,...more

Markets Promptly See Effect of New SEC Cybersecurity Disclosure Rules

Patterson Belknap Webb & Tyler LLP on 1/5/2024

On December 18, 2023, prior to the trading session, VF Corp. (NYSE:VFC) issued a press release disclosing that the company was investigating unauthorized activity on its computer systems – and that the intrusion had encrypted...more

SEC Rulemaking 2023 - An Overview

Harris Beach Murtha PLLC on 12/20/2023

In 2023, the Securities and Exchange Commission (SEC) continued its trend of recent years of robust and significant rulemaking that affects the range of players in the securities industry — public companies, broker-dealers,...more

The SEC’s Charges Against SolarWinds and its Chief Information Security Officer Provide Important Cybersecurity Lessons for Public...

White & Case LLP on 11/15/2023

On October 30, 2023, the US Securities and Exchange Commission ("SEC") announced that it filed charges against SolarWinds Corp. ("SolarWinds" or the "Company") and its Chief Information Security Officer ("CISO") in connection...more

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