News & Analysis as of September 16, 2024

Securities Regulation

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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 Justice Insiders Podcast: Meet the Securities and Exchange (and Human Resources) Commission

SEC Adopts Changes to the Definition of “Dealer” and “Government Securities Dealer”

Hinckley Allen on 2/14/2024

On February 6, 2024, the Securities and Exchange Commission (“SEC”) adopted final rules (the “Final Rules”) that will further define the phrase “as a part of a regular business” as used in the statutory definitions of...more

SEC Adopts Amendments to the Beneficial Ownership Rules

Jones Day on 10/18/2023

In Short - The Background: On October 10, 2023, the U.S. Securities and Exchange Commission (the "SEC") adopted amendments to the rules that govern beneficial ownership reporting for investors, marking the first update to...more

SEC Amendments to Rule 10b5-1

Stinson LLP on 1/5/2023

On December 14th, 2022, the U.S. Securities and Exchange Commission (SEC) adopted a series of amendments to Rule 10b5-1 under the Securities Exchange Act of 1934. In sum, the amendments accomplish the following...more

SEC Proposes Changes to Shareholder Proposal Rule

Stinson - Corporate & Securities Law Blog on 7/15/2022

The Securities and Exchange Commission proposed amendments to Exchange Act Rule 14a-8, the shareholder proposal rule, which requires companies subject to the federal proxy rules to include shareholder proposals in their proxy...more

SEC Proposes Rules to Clarify Dealer-Trader Distinction

Jones Day on 4/5/2022

The SEC's Proposal - On March 28, 2022, the SEC released a rulemaking proposal (the "Proposal") for new rules to clarify the meaning of certain terms in the statutory definitions of "dealer" and "government securities...more

SEC Revives Proposed Antifraud Rule for Security-Based Swap Transactions

Skadden, Arps, Slate, Meagher & Flom LLP on 12/23/2021

On December 15, 2021, the Securities and Exchange Commission (SEC) re-proposed for comment Rule 9j-1 (Rule), an antifraud provision for security-based swaps (SBS) initially proposed in 2010. In the same release, the SEC also...more

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