Securities and Exchange Commission (SEC), EFTs, Securities Regulation

Ropes & Gray’s Investment Management Update February – March 2025

Ropes & Gray LLP on 4/24/2025

Since our prior IM Update, in separate Alerts, we covered (i) the 2025 Investment Management Conference sponsored by the Investment Company Institute, (ii) anticipated modernization of the conditions governing joint...more

Blockchain+ Bi-Weekly: June 2024

Polsinelli on 6/13/2024

Our last update included a whirlwind of activities, with the surprisingly bipartisan House of Representatives vote on FIT 21 and the SEC’s approval of certain Ether spot ETF rule change proposals coming in quick succession....more

SEC Releases New Guidance on Tailored Shareholder Reports

Troutman Pepper Locke on 1/25/2024

On January 19, 2024, the Division of Investment Management staff at the Securities and Exchange Commission (SEC), released several responses to frequently asked questions (FAQs) related to the adoption of rules and form...more

Jurisdictional Boundaries Between CFTC Swaps and SEC Security-Based Swaps Clarified

Cadwalader, Wickersham & Taft LLP on 10/13/2023

On September 19, 2023, the jurisdictional boundaries between the regulation of swaps by the Commodity Futures Trading Commission (the “CFTC”) and the regulation of security-based swaps (“SBSs”) by the Securities and Exchange...more

SEC Investor Advisory Committee Public Meeting Announced

Mayer Brown Free Writings + Perspectives on 12/5/2022

The Securities and Exchange Commission’s Investor Advisory Committee announced a virtual public meeting to be held on December 8, 2022 to discuss several investor-related matters. The committee is scheduled to host three...more

Still Waiting: SEC Again Delays Approvals of Bitcoin ETFs

Orrick - On the Chain on 8/20/2019

As further evidence of the SEC’s resistance to the development of a regulated secondary market in bitcoin, on August 12 it delayed making a decision on three additional bitcoin exchange-traded fund (ETF) proposals....more