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Securities Regulation › Proposed Amendments › Investment

ArentFox Schiff

SEC’s New Concept Release on Foreign Private Issuer Standards

ArentFox Schiff on

On June 4, the US Securities and Exchange Commission (SEC) published a concept release soliciting public comment on potential amendments to the definition of foreign private issuer (FPI) under US securities laws....more

Carlton Fields

SEC Solicits Public Comment on Definition of “Foreign Private Issuer”

Carlton Fields on

The Securities and Exchange Commission (SEC) published a concept release on June 4, 2025, seeking feedback on whether the SEC should amend the definition of “foreign private issuer” (FPI). In the release, the SEC asks whether...more

Cozen O'Connor

SEC Invites Feedback to Foreign Private Issuer Eligibility Rules

Cozen O'Connor on

On June 4, 2025, the U.S. Securities and Exchange Commission (SEC) issued a Concept Release, seeking public feedback on whether the nearly half-a-century-old definition of foreign private issuer (FPI) and the reporting...more

Mayer Brown Free Writings + Perspectives

FINRA Proposes to Exempt BDCs from its IPO Purchase Restriction Rules

Mayer Brown Free Writings + Perspectives on

On March 20, 2025, the Financial Industry Regulatory Authority (FINRA) proposed amendments to its rules imposing restrictions on the purchase and sale of equity securities offered in initial public offerings (IPOs) (Rule...more

Stikeman Elliott LLP

CSA Propose Amendments to Rules for Public Crypto Asset Funds

Stikeman Elliott LLP on

The Canadian Securities Administrators (“CSA”) recently published proposed amendments to National Instrument 81-102 Investment Funds (“NI 81-102”) and changes to its companion policy (the “Proposed Amendments”) relating to...more

Perkins Coie

SEC Proposes To Amend Broker-Dealer Customer Protection Rule Reserve Account Calculation Requirements

Perkins Coie on

The U.S. Securities and Exchange Commission (SEC) proposed to amend Exchange Act Rule 15c3-3 (the Customer Protection Rule)[1] on July 12, 2023. If adopted, the proposed amendments would increase the frequency with which...more

Mayer Brown Free Writings + Perspectives

Upcoming SEC Open Meeting on Cyber (and More)

Mayer Brown Free Writings + Perspectives on

The Securities and Exchange Commission announced an open meeting to be held on July 26, 2023.  The agenda includes consideration of the final amendments to the rules relating to enhanced and standardized disclosures regarding...more

Sullivan & Worcester

SEC Proposes Changes to Liquidity Risk Management and Swing Pricing Rules

Sullivan & Worcester on

On November 2, 2022, the Securities and Exchange Commission (“SEC”) proposed  amendments to the current rules relating to liquidity risk management and swing pricing (the “Proposal”)....more

Seward & Kissel LLP

SEC Proposes Amendments to Fund “Names Rule” and Proposes Amendments Concerning Fund ESG Investment Practices

Seward & Kissel LLP on

On May 25, 2022, the SEC proposed amendments to Rule 35d-1, the fund “Names Rule,” (Names Rule Amendments) and, separately, proposed amendments to several rules and forms that would require additional disclosure for funds and...more

Nelson Mullins Riley & Scarborough LLP

Disclosure Tune-Up Proposed for Projections

Nelson Mullins Riley & Scarborough LLP on

In its recently proposed rules that relate primarily to SPACs and shell companies, the SEC did propose certain changes relating to projections that would apply to all reporting companies. In particular, the proposed...more

Stinson - Corporate & Securities Law Blog

SEC Proposes Rules Regarding Special Purpose Acquisition Companies, Shell Companies, and Projections

Stinson - Corporate & Securities Law Blog on

The SEC proposed rules and amendments regarding special purpose acquisition companies (SPACs), shell companies, and projections disclosure. The proposed new rules and amendments would, among other things...more

Troutman Pepper Locke

SEC Proposes to Amend Advertising and Client Solicitation Rules

Troutman Pepper Locke on

In November 2019, the Securities and Exchange Commission released proposed amendments to Rule 206(4)-1 (Advertising Rule) under the Investment Advisers Act of 1940 (Advisers Act). The Advertising Rule was first adopted in...more

Seyfarth Shaw LLP

SEC Votes to Propose Amendments to the Definition of an Accredited Investor

Seyfarth Shaw LLP on

The U.S. Securities and Exchange Commission voted 3-2 on Wednesday to propose amendments to its current definition of an “accredited investor.” The depression-era definition historically limited certain types of private...more

Polsinelli

SEC Proposes Expanding the Definitions of “Accredited Investor” and “Qualified Institutional Buyer”

Polsinelli on

On December 18, the U.S. Securities and Exchange Commission (“SEC”) issued a proposal to update the definition of “accredited investor” pursuant to Rule 506 of Regulation D under the Securities Act of 1933 (“Securities Act”)...more

Herbert Smith Freehills Kramer

SEC Accredited Investor Proposal Could Yield New Product Opportunities for Private Fund Managers

Herbert Smith Freehills Kramer on

On Dec. 18, 2019, the Securities and Exchange Commission (SEC or Commission) proposed amendments to broaden the definition of “Accredited Investor” under Regulation D to cover a broader group of investors, including adding...more

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