News & Analysis as of August 4, 2025

Financial Regulatory Reform

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The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +

The Justice Insiders Podcast: Meet the Securities and Exchange (and Human Resources) Commission

SEC Formally Withdraws Various Proposed Rules

Mayer Brown Free Writings + Perspectives on 6/16/2025

The Securities and Exchange Commission (SEC) formally withdrew the following proposed Gensler era rulemakings: Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule...more

SEC Proposes Rule Amendments Designed to Expand Access to Private Investment Opportunities

Cadwalader, Wickersham & Taft LLP on 1/23/2020

By a 3-2 vote, the Securities and Exchange Commission (the “SEC”) approved the publication of a release on December 18, 2019, generally expanding the scope of the definitions of “accredited investor” in Rule 501(a) of...more

SEC Proposes Modifications to Cross-Border Application of Security-Based Swaps Regime

A&O Shearman on 9/4/2019

The Securities and Exchange Commission (SEC) continues to take steps toward implementation of its security-based swap (SBS) dealer registration framework. A particular area of concern for market participants has been how the...more

Security-Based Swaps Meet Rule 15a-6 - Potential New Exemptions for Security-Based Swaps and SBSDs

Cadwalader, Wickersham & Taft LLP on 6/4/2019

The Securities and Exchange Commission (the “SEC”) has proposed a number of amendments to its rules and guidance governing security-based-swaps (“SBS”) entered into by non-U.S. firms....more

SEC Directed to Increase Rule 701 Disclosure Threshold to $10 million

Pillsbury Winthrop Shaw Pittman LLP on 6/22/2018

Increased Rule 701 threshold provides greater flexibility and reduces compliance costs for non-reporting companies. Recently enacted legislation rolling back Dodd-Frank directs the SEC to increase the Rule 701 enhanced...more

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