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

Gordon Rees Scully Mansukhani

SEC No-Action Letter and Compliance Guidance Establish New Accredited Investor Verification Standard

Gordon Rees Scully Mansukhani on

In response to a request for no-action submitted by the law firm Latham & Watkins on March 12, 2025 (No-Action Letter), the Securities and Exchange Commission (SEC) Division of Corporation Finance’s staff (Staff) provided new...more

Mayer Brown Free Writings + Perspectives

New Compliance and Disclosure Interpretation Regulates Forward Contracts on Restricted Securities

Mayer Brown Free Writings + Perspectives on

On June 9, 2022, the staff (“Staff”) of the US Securities and Exchange Commission (“SEC”) added Question 101.01 to its Compliance and Disclosure Interpretations (“C&DI”), addressing forward contracts on restricted securities....more

Akin Gump Strauss Hauer & Feld LLP

SEC Division Director Provides Long-Awaited Guidance on Initial Coin Offerings

Akin Gump Strauss Hauer & Feld LLP on

On Thursday, U.S. Securities and Exchange Commission (SEC) Director of Corporate Finance William Hinman provided some long-desired clarity on the SEC’s approach to cryptocurrency regulation, announcing during Yahoo Finance’s...more

Vedder Price

Investment Services Regulatory Update - November 2017

Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts - SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues No-Action Letters to Facilitate Cross-Border Compliance with the Research “Unbundling” Provisions of the European...more

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