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Financial Markets Securities Transactions Securities Regulation

Mayer Brown

SEC Adopts Rules to Require Registration of Certain Persons Engaging in Liquidity-Providing Activities as “Dealers” and...

Mayer Brown on

On February 5, 2024, the U.S. Securities and Exchange Commission (“SEC”) adopted new rules – SEC Rules 3a5-4 and 3a44-2 (collectively, the “Final Rules”) – to further define the phrase “as part of a regular business” used in...more

Mayer Brown Free Writings + Perspectives

NYSE Issues 2024 Listed Company Compliance Guidance Memo

The New York Stock Exchange (“NYSE”), through the NYSE Regulation staff, has issued its annual Listed Company Compliance Guidance Memo for 2024 (“Memo”), which informs NYSE-listed companies of new matters, including the...more

Troutman Pepper

The US Attorney's Office for the Central District of California Announces Securities Fraud Task Force

Troutman Pepper on

On October 4, U.S. Attorney for the Central District of California Martin Estrada announced the formation of a new task force, the Corporate and Securities Fraud Strike Force....more

Burr & Forman

SEC Adopts Rules Implementing T+1 Settlement

Burr & Forman on

Last week, a divided Securities and Exchange Commission adopted a set of rule changes requiring next-day (T+1) settlement of most equity trades by May 24, 2024. The suite of rules also require same-day trade allocations and...more

McDermott Will & Emery

[Webinar] PEER Series - What Private Equity Wants to Know About PIPEs - August 20th, 1:00 pm - 1:45 pm ET

McDermott Will & Emery on

As recent volatile markets have necessitated diversification in transaction and financing structures, private investment in public equity (PIPE) transactions have been on the rise, with sponsors increasingly considering these...more

Mayer Brown Free Writings + Perspectives

What's the Deal? - ATM Offerings

An “at-the-market” (“ATM”) offering is an offering of securities into an existing trading market for the securities at a price or prices related to the then-market price of the securities. ATM offerings are continuous...more

Morgan Lewis

ETF Roundup – Issue 6

Morgan Lewis on

GENERIC LISTING STANDARDS FOR ETFS RELYING ON RULE 6C-11 APPROVED - The US Securities and Exchange Commission (SEC) has approved generic listing standards proposed by NYSE Arca, Inc., Cboe BZX Exchange, Inc., and The Nasdaq...more

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