SEC

On August 9, 2023, the Securities and Exchange Commission (SEC) published a proposed rule intended to address conflicts of interest arising from the use of predictive data analytics (PDA) technologies by broker-dealers and investment…

On March 9, 2023, the U.S. Securities and Exchange Commission (SEC) published proposed rules that would amend and redesignate Rule 206(4)-2 (Custody Rule) under the Investment Advisers Act of 1940. SEC’s proposal would replace the Custody…

On March 9, 2023, the Securities and Exchange Commission (SEC) published proposed rules imposing significant revisions to Rule 206(4)-2 (Custody Rule) under the Investment Advisers Act of 1940 (Advisers Act). SEC’s proposal would replace…

On July 27, 2022, the Securities and Exchange Commission (SEC) published proposed amendments to three of the substantive bases for exclusion of shareholder proposals under Exchange Act Rule 14a-8: the substantial implementation…

On April 11, 2022, the U.S. Securities and Exchange Commission (SEC) published proposed rules that would require public companies to provide detailed disclosure about climate-related risks and climate-related financial metrics in their…

The Securities and Exchange Commission (SEC) has extended the public comment period for its proposed rules on The Enhancement and Standardization of Climate-Related Disclosures for Investors until June 17, 2022. In a press release on…

On March 23, 2022, the U.S. Securities and Exchange Commission published proposed rules that would enhance and standardize disclosures regarding cybersecurity risk management, strategy, governance, and cybersecurity incident reporting by…

In March 2022, the Securities and Exchange Commission (SEC) published on its website and in the Federal Register proposed rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure. The proposed rules seek…

On March 31, 2020, the Securities and Exchange Commission (SEC) published in the Federal Register the proposed rule Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets.…

On June 26, 2019, the Securities and Exchange Commission (SEC) requested comments on several registration exemptions under the Securities Act of 1933 that facilitate capital raising. The SEC is specifically requesting comments on the…