News & Analysis as of

Rulemaking Process Investor Protection

A&O Shearman

ESMA publishes overview of planned consultations for 2025

A&O Shearman on

The European Securities and Markets Authority has published an overview of its planned consultations for 2025. The consultations relate to workstreams under the EU Listing Act,...more

Herbert Smith Freehills Kramer

SEC Proposes Rule Changes to Improve Private Placement Rules

On March 4, the Securities and Exchange Commission (the Commission) proposed a set of amendments to the rules and regulations under the Securities Act of 1933, as amended (the Securities Act), to simplify, harmonize and...more

Mayer Brown Free Writings + Perspectives

SEC Proposes Rule Changes to Exempt Offering Framework

On March 4, 2020, the Securities and Exchange Commission (“SEC”) proposed amendments to the current framework of registration exemptions and safe harbors. ...more

Mayer Brown

Revising the Regulatory Definition of a Qualified Mortgage

Mayer Brown on

When the federal Consumer Financial Protection Bureau (“CFPB”) last summer issued its Advance Notice of Proposed Rule Making (“ANPR”) to revise the definition of a “Qualified Mortgage” (“QM”) under the Dodd-Frank Act’s...more

Mayer Brown Free Writings + Perspectives

SEC Open Meeting Now to Address Resource Extraction Payments and Accredited Investor Definition

The upcoming Securities and Exchange Commission open meeting for December 18, 2019 will now address additional rulemaking....more

Herbert Smith Freehills Kramer

SEC proposes simplification of derivatives rules for closed-end, other funds

The SEC voted to propose a rule designed to enhance the regulation of the use of derivatives by registered investment companies, including closed-end funds, as well as mutual funds, ETFs and business development companies....more

Troutman Pepper Locke

Investment Management Update - July 2019

Troutman Pepper Locke on

Covering legal developments and regulatory news for registered funds, their advisers and industry participants through June 30, 2019. Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships - On...more

Mayer Brown Free Writings + Perspectives

SEC Seeks Public Comment to Improve Exempt Offering Process

On June 18, 2019, the Securities and Exchange Commission (the “SEC”) issued a concept release requesting public comment on ways to simplify, harmonize and improve the exempt offering process to expand investment opportunities...more

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