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Securities Regulation Final Rules

Mayer Brown Free Writings + Perspectives

SEC Abandons Review of Vacated Private Fund Adviser Rules

The Securities and Exchange Commission let pass the deadline to seek a review of the decision by the US Court of Appeals for the Fifth Circuit (the “Fifth Circuit”) to vacate the SEC’s final rule relating to private fund...more

Baker Botts L.L.P.

Form SD Deadline Approaching for Resource Extraction Issuers: Reminder and FAQs

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As previously discussed in our Client Alert issued on December 18, 2020 (available here), the U.S. Securities and Exchange Commission (the “Commission”) adopted its final rule (the “Final Rule,” available here) requiring...more

BCLP

SEC Upcoming Rule Making Agenda Recently Released - Activity Largely Paused Until After the Election

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The SEC recently released its Spring 2024 Reg. Flex Agenda, which is a list of upcoming SEC rule making activities, including both rule proposals and adoption of final rules....more

DarrowEverett LLP

Fifth Circuit Puts the Brakes on SEC’s Private Fund Rules: What’s Next For Private Fund Advisers

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In a continuation of recent court decisions overturning the rulemaking authority of federal agencies, a recent decision by the U.S. Court of Appeals for the Fifth Circuit vacated the Securities and Exchange Commission’s (SEC)...more

Jones Day

U.S. SEC Climate Disclosure Rules Spark Flurry of Litigation

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On March 6, 2024, the United States Securities and Exchange Commission ("SEC") adopted the much anticipated climate-related disclosure rules, two years after publishing the proposed rules. Immediately following the adoption...more

Jones Day

Fifth Circuit Vacates SEC Private Fund Adviser Rules

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The U.S. Court of Appeals for the Fifth Circuit held that the new SEC regulation of private fund advisers exceeded the agency's statutory authority....more

A&O Shearman

SEC private fund adviser rule vacated by Fifth Circuit

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On June 5, 2024, the U.S. Court of Appeals for the Fifth Circuit held that the U.S. Securities and Exchange Commission had exceeded its statutory authority in adopting its controversial private fund advisers rule....more

Sullivan & Worcester

Are the SEC’s Private Fund Advisers Rules Now Dead? No, but they are on Life Support

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The U.S. Court of Appeals for the Fifth Circuit (the “Fifth Circuit”) has thrown a wrench into the gears of the U.S. Securities and Exchange Commission (the “SEC”) in its attempt to regulate those investment advisers that...more

Seyfarth Shaw LLP

SEC's Private Fund Advisers Rule Struck Down by Fifth Circuit

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The Fifth Circuit Court of Appeals (Fifth Circuit) today issued its ruling striking down the “Private Fund Advisers Rule” (the “PFA”). The proposed PFA was introduced on February 9, 2022 (“Proposed Rule”). The Securities and...more

Mayer Brown

Fifth Circuit Vacates Private Fund Adviser Rules

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On June 5, 2024, a three-judge panel of the Fifth Circuit Court of Appeals (the “Fifth Circuit”) unanimously vacated the rule adopted by the US Securities and Exchange Commission (the “SEC”) to enhance the regulation of...more

Goulston & Storrs PC

5th Circuit Strikes Down SEC Private Fund Rules. Now What?

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The long-awaited SEC private fund rules were put on ice by the Fifth Circuit U.S. Court of Appeals today when the appellate court struck down the rules and the significant compliance, disclosure, and reporting changes that...more

Troutman Pepper

Director of Division of Corporation Finance Issues Guidance on Disclosure of Cybersecurity Incidents under Form 8-K

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On May 21, 2024, Erik Gerding, the director of the Division of Corporation Finance of the Securities and Exchange Commission (SEC), released a statement containing guidance for public companies regarding the disclosure of...more

Bennett Jones LLP

SEC Final Rules and the Impact on Canadian Advisers

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The Securities and Exchange Commission (the SEC) adopted new and somewhat controversial rules and rule amendments (the Final Rules) under the U.S. Investment Advisers Act of 1940 (the Act) in the fall of 2023 that impact the...more

Hinckley Allen

Every Business Should Pay Attention to Climate-Related Disclosure Rules: Here’s Why

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On March 6, 2024, the Securities and Exchange Commission (SEC) released final rules regarding the Enhancement and Standardization of Climate-Related Disclosures for Investors (the Final Rules). We provided an overview of the...more

McNees Wallace & Nurick LLC

ESG and SEC: Impact of the Judicial Review on the Final Rules for Climate-Related Disclosures

As part of the Securities and Exchange Commission’s ongoing and evolving mission to enhance disclosures for investors, the SEC published final rules relating to climate-related disclosures for investors (final rules). When...more

Carlton Fields

Last Lap in SEC RILA Rulemaking: Critical Unresolved Issues

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Congress directed the SEC to adopt a new registration statement for registered indexed annuities (RILAs) by the end of June. Several months ago, the SEC published its proposed registration statement and related rules. As we...more

DarrowEverett LLP

The Heat Is On SEC’s Climate-Related Disclosure Rules

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On March 6, 2024, the U.S. Securities and Exchange Commission (the “SEC”) adopted new final rules requiring issuers to include extensive disclosure in registration statements and periodic reports regarding material...more

Goldberg Segalla

With Mounting Litigation from Multiple Courts, SEC Stays its New Climate Disclosure Rules

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Last month, our readers will recall that we reported on some pushback raised regarding the new climate disclosure rules promulgated by the U.S. Securities and Exchange Commission requiring publicly traded registrants to...more

Hinckley Allen

SEC Adopts Amendments to the Internet Adviser Exemption

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On March 27, 2024, the Securities and Exchange Commission (“SEC”) adopted a final rule (the “Final Rule”) amending SEC Rule 203A-1(E) (the “Internet Adviser Exemption”) promulgated under the Investment Advisers Act of 1940,...more

Cadwalader, Wickersham & Taft LLP

SEC Adopts Climate-Related Disclosure Rules

On March 6, 2024, the U.S. Securities and Exchange Commission (the “SEC”) finalized and adopted rules on climate-related disclosures for public companies, including foreign private issuers, that are less onerous than the...more

SEC Compliance Consultants, Inc. (SEC³)

Compliance Roundup for April 5, 2024

Compliance Update for the week Ending April 5, 2024 - For our clients and compliance colleagues, this weekly update will give you a quick look at the latest regulatory developments. Enjoy!...more

Quarles & Brady LLP

SEC Issues an Administrative Stay of its Climate Disclosure Rules

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On March 6, 2024, the Securities and Exchange Commission (SEC or the Commission) finalized its long-awaited climate disclosure rules on a party-line 3-2 vote. We previously provided a summary of the content of that final...more

Wyrick Robbins Yates & Ponton LLP

SEC Pauses Climate Disclosure Rules

On April 4, 2024, the Securities and Exchange Commission (the “Commission”) voluntarily issued an order staying its recently adopted climate disclosure rules  (the “Final Rules”), pending the completion of judicial review of...more

WilmerHale

SEC Pauses Final Rules on Climate-Related Disclosures

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On April 4, 2024, the SEC issued a stay of its final climate-related disclosure rules. The SEC adopted the long-awaited final rules in March after receiving more than 24,000 comment letters....more

Mayer Brown Free Writings + Perspectives

SEC Stays Climate-Related Disclosure Rules

The SEC paused implementation of the climate-related disclosure rules in the face of significant legal challenges.  The rules would impose substantial disclosure mandates on companies, including concerning the costs of...more

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