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Jones Day

SEC Withdraws Proposed ESG Disclosure and Shareholder Submission Rules

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In a significant but not unsurprising policy shift, the U.S. Securities and Exchange Commission (SEC) has announced the withdrawal of proposed rules aimed at enhancing ESG disclosures and modifying shareholder proposal...more

Seward & Kissel LLP

SEC Withdraws 14 Proposed Rules Impacting Investment Advisers, Investment Companies and Broker-Dealers

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June 18, 2025 On June 12, 2025, various divisions within the Securities and Exchange Commission (“SEC”) formally withdrew a number of pending proposed rules which would have affected investment advisers, investment companies,...more

SEC Compliance Consultants, Inc. (SEC³)

SEC Chair Paul Atkins Sets Pro-Innovation Tone in First Public Remarks

In his first public address as Chairman of the U.S. Securities and Exchange Commission, Paul Atkins laid out his regulatory vision during the SEC Speaks conference on May 19, 2025....more

Wilson Sonsini Goodrich & Rosati

Focus on Fintech – Q1 2025

Welcome to Wilson Sonsini’s Focus on Fintech newsletter. This quarterly newsletter provides ongoing analysis and commentary on regulatory developments impacting the fintech industry. In this issue, our attorneys discuss...more

Ropes & Gray LLP

2025 ICI Investment Management Conference

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The 2025 ICI Investment Management Conference was noteworthy for the change in tone from the SEC officials in attendance, including Acting Chairman Mark Uyeda, as well as IM Director Natasha Greiner, who suggested that there...more

Carlton Fields

New SEC Management Boldly Charts New Course

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A shift in leadership at the Securities and Exchange Commission often brings significant changes in regulatory priorities and enforcement approaches. As anticipated in our firm’s EO Watch alert, “Immediate Practical...more

Mayer Brown Free Writings + Perspectives

SEC to Review Clearing Rule Compliance for U.S. Treasury Securities Amid Industry Concerns

The SEC is set to hold an open meeting on February 26, 2025, to discuss extending compliance deadlines and granting temporary exemptions for covered clearing agencies (CCAs) handling U.S. Treasury securities. This review...more

Polsinelli

Department of Labor Proposes Rule on Valuing Stock for ESOP Stock Purchase and Sale Transactions

Polsinelli on

On January 16, 2025, the Employee Benefits Security Administration (EBSA) at the Department of Labor (DOL) released drafts of long-awaited proposed regulations seeking to clarify the definition of “adequate consideration” as...more

Paul Hastings LLP

The U.K.’s New Cryptoasset Regime—the FCA Releases Its First Consultation Paper on Market Abuse and the Admissions and Disclosure...

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The Financial Conduct Authority (FCA) has released its first publication (DP24/4) on its future rules for U.K. cryptoasset market participants. This discussion paper seeks input on the FCA’s proposed rules for admissions and...more

Wyrick Robbins Yates & Ponton LLP

Nasdaq Proposes to Accelerate Delisting Process

Nasdaq has proposed amendments to its listing standards that would accelerate the delisting process for certain companies that fail to satisfy its minimum bid price requirement. These proposals are ostensibly in response to...more

Eversheds Sutherland (US) LLP

Dual registrant regulatory roundup - May 2024

Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more

Bass, Berry & Sims PLC

SEC Voluntarily Pauses Implementation of Climate Disclosure Rules Amid Legal Challenges

Today, the Securities Exchange Commission (SEC) voluntarily stayed its recently issued Climate Disclosure Rules.   The SEC hopes the voluntary stay will facilitate the resolution of the current Eighth Circuit challenge...more

Alston & Bird

New SEC Rule 192: Prohibition Against Conflicts of Interest in Certain Securitizations

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Our Finance Group summarizes the Securities and Exchange Commission’s finalized Rule 192 that prohibits conflicts of interest among participants in asset-backed securitizations. - The Dodd–Frank Act prohibits conflicts...more

Jenner & Block

Environmental Regulations to Watch in 2024

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Several federal agencies, including the United States Environmental Protection Agency, Federal Trade Commission, Department of the Interior, and Securities and Exchange Commission, have a slew of pending environmental...more

Mayer Brown

Proposed Rule 192: Conflicts of Interest in Asset-Backed Securitization

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The Securities and Exchange Commission (the “Commission”) published proposed Rule 192 (Conflicts of Interest Relating to Certain Securitizations) on January 25, 2023 and closed the public comment period on March 27, 2023....more

DarrowEverett LLP

Danger, Does Not Compute: SEC Takes Aim at Predictive Data Analytics Per Proposed Rules

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On July 26, 2023, the Securities and Exchange Commission (“SEC”), in a 3-2 vote, issued a release (the “Release”) containing proposed rules to address conflicts of interest associated with broker dealers’ and investment...more

Akerman LLP

The SEC’s Newly Adopted Rules and Rule Amendments for Private Fund Advisers

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On August 23, 2023, the Securities and Exchange Commission (the SEC) adopted new rules and rule amendments (collectively, the “Rules”) under the Investment Advisers Act of 1940, as amended (the Advisers Act) to enhance the...more

Jones Day

SEC Reopens Comment Period for Rule Proposing New Disclosures for Security-Based Swaps

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The Situation: The Securities and Exchange Commission ("SEC") has reopened the comment period for its proposed rule requiring public disclosure of security-based swap ("SBS") positions that exceed certain thresholds....more

Foley Hoag LLP - Energy & Climate Counsel

Anticipating the U.S. Securities and Exchange Commission’s ESG Disclosure Rules and Guidelines: How to Stay Ahead of the Game

As more advisory services, investment companies, and public companies have publicized their Environmental, Social, and Governance (ESG) goals, the U.S. Securities and Exchange Commission (SEC) has proposed a set of new rules...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Proposes New Conflicts of Interest Rule for Use of AI by Broker-Dealers and Investment Advisers

The passage of omnibus federal legislation on the use of artificial intelligence (AI) is unlikely in the short term, but individual federal agencies continue to address the implementation of AI within the areas they regulate....more

Ballard Spahr LLP

SEC Proposes Additional Conflict-of-Interest Rule for Investment Advisers' and Broker-Dealers' Use of AI in Customer Interactions

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Summary - The U.S. Securities Exchange Commission (SEC) has proposed additional compliance obligations on broker-dealers and investment advisers and their use of artificial intelligence (AI), predictive analytics, and...more

Skadden, Arps, Slate, Meagher & Flom LLP

Companies Face Increasing Scrutiny Over Their ESG Disclosures — Including by ESG Critics

Key Points As public interest and scrutiny into environmental, social and governance (ESG) issues continue to rise, companies face an ever-evolving landscape relating to their ESG disclosures. The Securities and Exchange...more

Mayer Brown Free Writings + Perspectives

SEC Reopens Comment Period for Proposed Rule Amendments to Modernize Beneficial Ownership Reporting

On April 28, 2023, the Securities and Exchange Commission announced that it was reopening the comment period for the proposed amendments to modernize the rules governing beneficial ownership reporting filed on Schedules 13D...more

Stinson LLP

SEC Proposes Enhanced Safeguarding (Custody) Rule for Registered Investment Advisers

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On February 15, 2023, the U.S. Securities and Exchange Commission (SEC) proposed to exercise its authority by amending and re-designating Rule 206(4)-2 under the Investment Advisers Act of 1940 (the Custody Rule)....more

Tannenbaum Helpern Syracuse & Hirschtritt LLP

How the SEC’s Proposed New Safeguarding Rule May Impact Private Fund Advisers

On February 15, 2023, the U.S. Securities and Exchange Commission (“SEC”) issued a proposed rule (the “Proposal”) under the Investment Advisers Act of 1940 (the “Advisers Act”), which would (i) amend certain provisions of the...more

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