Sidley Updates
SEC Proposes Sweeping Revisions to Advisers Act Custody Rule
Sidley Resource
Securities Enforcement and Regulatory Resource Center
-
Investment AdvisersSEC Adopts Significant Form PF Amendments
-
FINRAFINRA Issues Regulatory Notice on Broker-Dealer Responsibilities in Private Placements
-
SEC, Public CompaniesNew SEC Rules Will Require More Detailed, Periodic Disclosure of Corporate Buybacks and Issuer Rule 10b5-1 Plans
-
SEC, Investment AdvisersSEC Publishes Additional Interpretive Guidance on Reg BI and Investment Adviser Standard of Care
-
Market StructureSEC Shines Spotlight on Crypto Asset Securities Trading Systems and DeFi in Reopening Comments on Reg ATS Proposal
-
SECU.S. Securities and Exchange Commission Proposes Three Rules Related to Cybersecurity, Reopens Comment for One Rule
-
ESGSEC Announces $55.9 Million Settlement in First Action Brought by its Climate and ESG Task Force
-
Investment Advisers, SECSEC Division of Exams Announces 2023 Examination Priorities
-
Investment AdvisersSEC Division of Examinations Issues Risk Alert for Newly-Registered Advisers
-
Investment AdvisersSEC Proposes Sweeping Revisions to Advisers Act Custody Rule
-
Public CompaniesImplications of the SEC’s Recent Enforcement Action Against Activision Blizzard
-
SECSEC Re-Proposes Rule Prohibiting Certain Conflicts of Interest in Securitization Transactions
-
FINRAFINRA Issues 2023 Report on Its Examination and Risk Monitoring Program
-
Market StructureSEC Proposes Rules Related to Minimum Pricing Increments, Access Fee Caps, and Transparency of Better Priced Orders
-
Market StructureSEC Proposes Rule to Enhance Competition for Certain Individual Investor Orders
-
Market StructureSEC Proposes Amendments to Modernize Disclosure of Order Execution Information
-
Market StructureSEC Proposes Comprehensive Best Execution Framework for Broker-Dealers
-
SEC, Insider Trading, Public CompaniesSEC Adopts Significant Changes to Rule 10b5-1 Trading Regime and Related Disclosures
-
Investment AdvisersEnforcement Update: Recent SEC Actions Against Investment Advisers to Private Funds, Registered Funds, and Retail Clients
-
SECSEC Overhauls Mutual Fund and ETF Shareholder Reports
-
SECSEC Modernizes Broker-Dealer Recordkeeping Requirements
-
Investment AdvisersU.S. Adviser Marketing Rule: Compliance Deadline Approaching, Exams to Follow
-
FINRAFINRA Issues Revised Sanction Guidelines
-
SEC, Public CompaniesFinal SEC Pay-Versus-Performance Rule Will Require Extensive New Disclosures in 2023 Proxy Statements
-
FINRA, SECSEC Proposes to Expand FINRA Oversight of Proprietary Trading Firms
-
SECSEC Adopts Rules Requiring Electronic Filing for Form 13F Confidential Treatment Requests
-
SEC, Public CompaniesSEC Proposes Amendments to the Substantial Implementation, Duplication, and Resubmission Bases for Excluding Shareholder Proposals
-
Investment AdvisersSEC Requests Comment on Regulation of Information Providers Under the U.S. Investment Advisers Act
-
SECSEC to Require Electronic Filing of Forms 144 via EDGAR
-
Insider TradingSDNY Files First Indictment Related to Insider Trading of NFTs While SEC Enforcement Expands Focus on Digital Assets Broadly
-
ESG, Investment AdvisersSEC Proposes New ESG Disclosures for Investment Advisers and Funds
-
SECSEC Proposes to Expand Fund Names Rule
-
SECD.C. Circuit Upholds SEC’s Market Data Infrastructure Rules, Paving the Way for Competing Consolidators
-
SECWhat Fund Managers and Investors Should Know About the SEC’s Bold New Regulatory Agenda
-
SECFederal Appeals Court Holds SEC Administrative Proceedings Are Unconstitutional
-
ESG, SECSEC Brings First ESG-Related Action Since Creating Climate and ESG Task Force
-
Insider Trading, Investment AdvisersSEC EXAMS Staff Identify Deficiencies in Adviser MNPI Controls
-
SECSEC Takes Another Try at Removing Credit Rating References From Regulation M
-
SECSEC Proposes Significant Expansion of Firms That Must Register as Dealers
-
SECThe SEC Has Crypto in Its Crosshairs (Again)
-
SECSEC Announces 2022 Examination Priorities: Private Funds, ESG, Retail, Cyber, Digital Assets Top the List
-
ESGSEC Proposes Far-Reaching Rules for “Enhancement and Standardization” of Climate-Related Disclosures
-
FINRAFINRA Issues Regulatory Notice on Failure to Supervise Liability for Chief Compliance Officers
-
Anti-Money LaunderingUK Economic Crime (Transparency and Enforcement) Bill
-
SEC, Short Sales/Reg SHO“Get Shorty” Again! — What You Need to Know About The SEC’s Proposed New Short Disclosure/Short Sale and Consolidated Audit Trail Requirements
-
SECNewly Proposed SEC Cybersecurity Risk Management Rules and Amendments for Registered Investment Advisers and Funds
-
FINRAFINRA Issues 2022 Report on Its Examination and Risk Monitoring Program
-
SEC, Public CompaniesSEC Proposes to Shorten Beneficial Ownership Reporting Deadlines, Expand Scope — How Will It Affect You?
-
Investment AdvisersSEC Proposes Significant Changes for Advisers and Private Funds
-
SECSEC Proposes Significant Expansion of Regulation ATS
-
SECSEC Chair: Sweeping New Cybersecurity Rules Are Coming Soon
-
SECSEC Encourages Self-Reporting of Recordkeeping Violations Resulting From Employees’ Use of Personal Devices for Business Communications
-
Anti-Money LaunderingFinCEN Proposed Rule Will Require Many Domestic and Foreign Entities to Report Beneficial Ownership Information to the U.S. Government
-
Short Sales/Reg SHO, Investment AdvisersHedge Fund Adviser and Associated Individuals Pay Over $8 Million to SEC for “Causing” Reg SHO and Dealer Registration Violations
-
Insider TradingImplications of SEC’s Recent Insider Trading Enforcement Action in SEC v. Matthew Panuwat
-
FINRAFINRA Announces Impending Special Purpose Acquisition Company Sweep
-
ESG“How to Be ESG” — A Registered Fund Board’s Guide to ESG Compliance
-
Anti-Money LaunderingFinCEN Issues Government-Wide Priorities for Anti-Money Laundering and Counter-Terrorist Financing
-
ESG“How to Be ESG” — A Private Fund’s Guide to ESG Compliance
-
Short Sales/Reg SHO, FINRA“Get Shorty” – FINRA Requests Comment on Proposed Significant Changes to Short Position and Stock Loan Reporting
-
Anti-Money LaunderingFinCEN Seeks Public Comments on Beneficial Owner Reporting Requirements
-
Anti-Money LaunderingFINRA 2021 Report Reminds Firms Key AML Regulatory Expectations Center Around Risk
-
FINRAFINRA Issues 2021 Report on its Examination and Risk Monitoring Program
-
Anti-Money LaunderingCongress Rings in the New Year With Substantial Changes to Anti-Money Laundering Laws
Stay Up To Date