Sidley Updates

Securities Enforcement & Regulatory Report

Q1 2021

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Published quarterly, Sidley’s Securities Enforcement & Regulatory Report is designed to provide actionable information and insights on key securities enforcement and regulatory developments. This report focuses on providing concise analyses of developing trends as well as overviews of notable enforcement actions and staffing changes at the SEC and other regulators.

The articles in this issue provide useful guideposts and practical suggestions for navigating the current environment. Inside this issue:

Implications of Archegos on Fund Disclosure of Derivative Securities
SEC Focus on ESG: An Interview with Sonia Barros
No-Action Relief: Potential Application to Distributed Ledger Projects Under Gensler’s SEC
Recent Decision Clears the Way for Private Fund Advisers to Claim an Exemption from Section 16
Increasing SEC Scrutiny of SPACs
Staff Moves

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