News & Analysis as of August 11, 2025

Investment Management

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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

Ropes & Gray’s Investment Management Update December 2024 – January 2025

Ropes & Gray LLP on 2/12/2025

On February 7, 2025, the SEC issued an order postponing compliance requirements with Rule 13f-2 under the Securities Exchange Act and reporting requirements on Form SHO. As a result, initial Form SHO reports from...more

Nutter Securities Enforcement Update: 2024 Fourth Quarterly Review

Nutter McClennen & Fish LLP on 2/4/2025

The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more

SEC Rule 13f-2 and Form SHO: New Short Position Reporting Requirements for Certain Investment Managers

Winstead PC on 1/27/2025

The Securities and Exchange Commission (the “SEC”) recently adopted Rule 13f-2 and Form SHO under the Securities Exchange Act of 1934 (the “Exchange Act”), implementing provisions of the Dodd-Frank Wall Street Reform and...more

SEC Adopts Short Sale Disclosure Rules

Skadden, Arps, Slate, Meagher & Flom LLP on 10/27/2023

The Securities and Exchange Commission (SEC) has voted to adopt new Rule 13f-2 and related Form SHO requiring certain institutional investment managers (managers) to report short sale-related information to the SEC....more

SEC Staff Grants Temporary Relief from Compliance with Rule 15c2-11 for Rule 144A Fixed Income Securities

Mayer Brown Free Writings + Perspectives on 12/6/2022

With the January 3, 2023, deadline fast approaching for compliance with Exchange Act Rule 15c2-11, as amended and reinterpreted by the staff of the US Securities and Exchange Commission (“SEC”) to apply to fixed income...more

SEC Proposes Monthly Short Sale Reporting and Aggregated Public Disclosure

WilmerHale on 3/9/2022

On February 25, 2022, the Securities and Exchange Commission (SEC) proposed Rule 13f-2 under the Securities Exchange Act of 1934 (the Exchange Act) and the corresponding Form SHO, which, if adopted, would require...more

Investment Management Update - November 2020

Troutman Pepper Locke on 11/17/2020

Covering legal developments and regulatory news for funds, their advisers and industry participants through October of 2020. ...more

SEC Adopts New Rule for Fund of Fund Arrangements

Skadden, Arps, Slate, Meagher & Flom LLP on 11/6/2020

On October 7, 2020, the Securities and Exchange Commission (SEC) adopted Rule 12d1-4 (Final Rule or Rule 12d1-4) under the Investment Company Act of 1940 (1940 Act) in an effort to streamline and enhance the regulatory...more

SEC Proposes New Rules that would Exempt Certain “Finders” from Registration as Brokers

Seyfarth Shaw LLP on 10/15/2020

Seyfarth Synopsis: The Securities and Exchange Commission currently takes the view that "finders" who introduce potential investors to a company must register as brokers if they receive compensation based on the amount of...more

SEC proposes narrow broker-dealer registration exemption for finders

Hogan Lovells on 10/15/2020

The U.S. Securities and Exchange Commission (SEC) proposed a new exemptive order on Wednesday, October 7, which would exempt certain “finders” from broker-dealer registration under Section 15(a) of the U.S. Securities...more

SEC Proposes Update to Accredited Investor Definition that Would Make Private Markets Available to More Investors

Faegre Drinker Biddle & Reath LLP on 1/2/2020

On December 18, 2019, the Securities and Exchange Commission (SEC) voted to propose amendments to the definition of “accredited investor” in Rule 501(a) of Regulation D (Reg D) under the Securities Act of 1933 (Securities...more

Business Development Company Guide for Capital Markets

Mayer Brown Free Writings + Perspectives on 9/11/2019

This guide covers all related information that a securities practitioner needs when working with a Business Development Company (BDC). It provides an overview of the industry and covers applicable securities laws and...more

California Ponders Mandating That Brokers And Investment Advisers Report Financial Elder Abuse

Allen Matkins on 3/6/2019

The California Elder Abuse and Dependent Adult Civil Protection Act mandates reporting of suspected financial abuse of an elder or dependent adult. Cal. Welf. & Inst. Code § 15630.1. Under the act, a "mandated reporter of...more

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