News & Analysis as of September 26, 2024

Securities and Exchange Commission (SEC)

+ Follow

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 Expands Definitions of ‘Dealer’ and ‘Government Securities Dealer’ to Adapt to Modern Market Practices

Lowenstein Sandler LLP on 2/15/2024

On Feb. 6, the Securities and Exchange Commission (SEC) announced two new rules that expanded the definition of “dealer” and “government securities dealer” under the Securities Exchange Act of 1934 (Exchange Act). These...more

“Decentralized Finance (DeFi),” Fintech, Regtech, and the Financial Services Industry (Ch. 8A)

WilmerHale on 2/9/2024

Decentralized Finance (DeFi) is an umbrella term used to describe financial services provided outside of the traditional markets, that rely on blockchain technologies to create innovative products instead of relying on...more

SEC Adopts Clearing Requirement for U.S. Treasury Transactions

A&O Shearman on 1/29/2024

On December 13, 2023, the Securities and Exchange Commission (the “SEC” or “Commission”) adopted rule amendments (the “Amendments”) under the Securities Exchange Act of 1934 that will, in effect, require direct participants...more

The SEC's Treasury Clearing Mandate

Katten Muchin Rosenman LLP on 12/22/2023

Mandatory central clearing is coming to the US Treasury market. Citing the many virtues of clearing — mitigation of the "overall amount of counterparty credit risk," centralized default management, multilateral netting of...more

SEC Set to Adopt Treasury Clearing Rules at Its Dec. 13 Meeting

Morgan Lewis - All Things FinReg on 12/11/2023

At its next open meeting on December 13, 2023, the US Securities and Exchange Commission (SEC) is expected to adopt rules (the Treasury Clearing Rules) to improve risk management in clearance and settlement and facilitate...more

Fund Adviser Exemptions Primer– Redux

Fox Rothschild LLP on 3/9/2021

I never find it boring to review the investment adviser exemptions for private fund managers. Apparently, I am not the only one since this is a question we frequently field. Initially, private fund manager investment...more

US Steps Up Actions Against Forced Labor as Congress Considers Further Measures

ArentFox Schiff on 10/26/2020

The US Government has taken action recently to step up enforcement against forced labor. As particular regions come under increased media scrutiny, the issue has renewed interest in Congress, which is considering several...more

Investment Services Regulatory Update - November 2017

Vedder Price on 11/21/2017

New Rules, Proposed Rules, Guidance and Alerts - SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues No-Action Letters to Facilitate Cross-Border Compliance with the Research “Unbundling” Provisions of the European...more

Civil Fines Jump Across Agencies Under Inflation Adjustment Act

WilmerHale on 7/14/2016

Civil fines across federal agencies have recently been increased dramatically under the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 (2015 Act) (Sec. 701 of Public Law 114-74), with some more than...more

FinCEN Proposes New Rule Requiring Anti-Money Laundering Programs for Registered Investment Advisers

Orrick, Herrington & Sutcliffe LLP on 9/1/2015

On August 25, 2015, the Financial Crimes Enforcement Network (FinCEN) issued a Notice of Proposed Rulemaking (NPRM) that would define investment advisers registered (or required to be registered) with the Securities and...more

Second Circuit Applies Morrison to Criminal Prosecution Under Section 10(b) and Rule 10b-5

Sheppard Mullin Richter & Hampton LLP on 10/25/2013

In United States v. Vilar, Case Nos. 10-521(L), 10-580(CON), 10-4639(CON), 2013 WL 4608948 (2d Cir. Aug. 30, 2013), the United States Court of Appeals for the Second Circuit held that Section 10(b) of the Securities Exchange...more

11 Results

View per page

Page: of 1

Securities Exchange Act › U.S. Treasury › Securities and Exchange Commission (SEC)

"My best business intelligence, in one easy email…"