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Regulatory Requirements Securities Exchange Act of 1934 Securities and Exchange Commission (SEC)

McDermott Will & Emery

SEC Amends Schedule 13G Beneficial Ownership Reporting Deadlines

McDermott Will & Emery on

On September 30, 2024, the revised Schedule 13G filing deadlines became effective. In this article, we provide an overview of the new regime and provide a comparison with the corresponding notification deadlines in the EU and...more

Wilson Sonsini Goodrich & Rosati

SEC Announces Increase in Registration Fee Rates Effective October 1, 2024

On August 20, 2024, the U.S. Securities and Exchange Commission (SEC) announced an increase in the fees that public companies and other issuers will be required to pay to register their securities, from $147.60 per million...more

K&L Gates LLP

SEC Initiates Sweep of Adviser on T+1 Compliance

K&L Gates LLP on

Over the last week, several registered investment advisers have received examination letters, issued from both the Securities and Exchange Commission’s national office in Washington, D.C., and from at least one regional...more

DarrowEverett LLP

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

DarrowEverett LLP on

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

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

Dechert LLP

SEC Adopts Rules on Short Sales and Securities Lending

Dechert LLP on

The Securities and Exchange Commission on October 13, 2023, adopted two new rules under the Securities Exchange Act of 1934 expanding reporting requirements for securities lending and short sales and amending rules regarding...more

Stinson LLP

SEC Staff Posts Conflicts of Interest Guidance for Broker-Dealers and Investment Advisers

Stinson LLP on

On August 3, 2022, the Securities and Exchange Commission (SEC) staff published a Q&A-Styled Bulletin focused on conflicts of interest under the Investment Advisers Act of 1940 (Advisers Act) and Regulation Best Interest (Reg...more

Mayer Brown Free Writings + Perspectives

SEC Fee Rate Advisory

The Securities and Exchange Commission announced that the fees that public companies and other issuers pay to register their securities with the SEC will increase from $92.70 per million dollars to $110.20 per million...more

Wyrick Robbins Yates & Ponton LLP

SEC Issues Proposed Rules on Disclosures Surrounding Stock Repurchases

On December 15, 2021, the Securities and Exchange Commission (SEC) proposed amendments to modernize and improve disclosure about repurchases of an issuer’s equity securities that are registered under Section 12 of the...more

Dechert LLP

SEC Proposes New Securities Lending Reporting Requirements

Dechert LLP on

The Securities and Exchange Commission, in a November 18, 2021 release (Release), proposed Rule 10c 1 under the Securities Exchange Act of 1934 (Proposed Rule). If adopted, the Proposed Rule would require certain persons...more

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