Securities and Exchange Commission (SEC), Rulemaking Process, New Regulations

U.S. SEC Extends Compliance Deadline for Recent Amendments to the Customer Protection Rule

Morrison & Foerster LLP on 7/1/2025

On June 25, 2025, the U.S. Securities and Exchange Commission (SEC) voted to extend the compliance deadline for recent amendments to Exchange Act Rule 15c3-3 (the “Customer Protection Rule”) to June 30, 2026. The amendments,...more

A Mintz ESG Primer: The Current State of Environmental, Social, and Governance Matters in American Corporations

Mintz on 10/30/2023

The Mintz Environmental, Social, and Governance (ESG) Working Group developed this ESG primer to provide an overview of the current state of affairs in the United States with respect to the ESG issues that businesses...more

ESG Reporting for Private Companies

Fenwick & West LLP on 8/22/2023

As we have noted in our previous report, environmental, social and governance (ESG) issues have garnered significant attention from a variety of stakeholders, resulting in increased reporting by many companies. While much of...more

Republican SEC Commissioner Peirce Questions Proposed SEC Rule Concerning ESG "Greenwashing"

Mintz on 9/22/2022

In remarks delivered today to the SEC Investor Advisory Committee, SEC Commissioner Pierce--one of the Republican appointees to the Commission--offered a critique of the proposed SEC rule re: "greenwashing," which is the...more

SEC Issues Controversial New Rule on Payment Transparency in the Natural Resource Sector

Foley Hoag LLP - Global Business and Human... on 12/18/2020

On December 16, 2020, the Securities and Exchange Commission issued a new regulation that revises and reinstitutes a previously-repealed SEC regulation to implement Section 1504 of the Dodd-Frank Act. The new rule is the...more

SEC Passes Preemption Question To The Courts

Allen Matkins on 6/6/2019

Yesterday, the Securities and Exchange Commission approved Regulation Best Interest. According to the SEC's announcement, this new regulation will require brokers "to act in the best interest of a retail customer when making...more