SEC Rules Content

On Monday, the Investment Company Institute (ICI) filed the attached amicus curiae ("friend of the court") brief to the DC Circuit Court of Appeals in support of the SEC in The Nasdaq Stock Market LLC, et al. v. Securities and Exchange Commission.

In November, the SEC issued two proposals. One would mandate the electronic filing of certain forms that currently must be filed on paper, as well as update certain other forms and processes. The other would require electronic filing through EDGAR of documents that currently may be...

In November, the SEC proposed changes to its 2020 proxy advice amendments. Most notably, the proposal would rescind provisions in the 2020 amendments.

At a public session on December 17, the US Financial Stability Oversight Council (FSOC or Council) issued its 2021 annual report to Congress.

The SEC's Division of Enforcement today announced the settlement of an action with J.P. Morgan Securities, LLC, a broker-dealer. According to the SEC's press release announcing the action, it involved "widespread and longstanding failures by the firm and its employees to maintain and...

The Securities and Exchange Commission recently proposed amendments that would change certain insider trading plans under Rule 10b5-1 under the Securities Exchange Act of 1934 and related disclosure.

On Wednesday, the Securities and Exchange Commission proposed amendments that would require new disclosures when an issuer repurchases its own equity securities.

As discussed previously, the Securities and Exchange Commission recently proposed rule 10c-1 ("Proposal") under the Securities Exchange Act of 1934 to increase transparency and efficiency in the securities lending market.

Last December, the SEC adopted new Rule 2a-5 under the Investment Company Act, which addresses the fair valuation responsibilities of funds and their boards and advisers, along with a companion recordkeeping rule.

SEC Commissioner Caroline Crenshaw, in recent remarks, discussed climate-related public company disclosure and the private markets.