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Securities and Exchange Commission (SEC) › Guidance Update › New Guidance

Flaster Greenberg PC

SEC Offers Updated Guidance for Rule 506(c) Private Placements

Flaster Greenberg PC on

On March 12, 2025, the SEC published a No-Action Letter clarifying accredited investor verification requirements under Rule 506(c)....more

Fenwick & West LLP

SEC Updates Guidance on Excluding Shareholder Proposals

Fenwick & West LLP on

The SEC rescinded Staff Legal Bulletin No. 14L and issued updated guidance on the exclusion of shareholder proposals under Rule 14a-8 and certain other aspects of Rule 14a-8....more

Faegre Drinker Biddle & Reath LLP

The SEC’s CCO Guidance Month

Faegre Drinker Biddle & Reath LLP on

In a 30-day period, the U.S. Securities and Exchange Commission (“SEC”) has released guidance in three ways regarding certain views on the important role and potential liability risks of chief compliance officers (“CCOs”)....more

Katten Muchin Rosenman LLP

Bridging The Week - December 2019

Katten Muchin Rosenman LLP on

The Commodity Futures Trading Commission issued revised guidance for mandatory chief compliance officer annual compliance reports for futures commission merchants and swap dealers. However, the proposed recommendations are...more

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