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Securities Exchange Act › Policies and Procedures › Final Rules

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 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 Commission (SEC), which is the primary regulatory agency enforcing federal securities laws. less -
Seward & Kissel LLP

SEC Shortening of Securities Transaction Settlement Cycle to Take Effect

Seward & Kissel LLP on

On February 15, 2023, the Securities and Exchange Commission (the “Commission”) adopted final rule amendments to shorten the standard settlement cycle for securities broker-dealer transactions from two business days after the...more

Dechert LLP

SEC Adopts Share Repurchase Disclosure Rules

Dechert LLP on

Issuers must disclose daily quantitative share repurchase information on a quarterly or semi-annual basis depending on the type of issuer, but not after every repurchase as had been initially proposed - Issuers must...more

Faegre Drinker Biddle & Reath LLP

The SEC’s New Exchange-Traded Fund Rule

Faegre Drinker Biddle & Reath LLP on

The Securities and Exchange Commission (SEC) recently adopted Rule 6c-11 under the Investment Company Act of 1940 (the “Act”), which removes the need for most exchange-traded fund (ETF) sponsors to obtain individual exemptive...more

Morrison & Foerster LLP

Following the Wisdom of the Crowd? A Look at the SEC’s Final Crowdfunding Rules

Morrison & Foerster LLP on

In this alert, we provide a detailed overview of the final rules, Regulation Crowdfunding, which will be applicable to crowdfunding offerings conducted in reliance on Section 4(a)(6) of the Securities Act of 1933 as amended...more

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