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The U.S. SEC adopted and clarified a number of rules intended to improve the relationships between retail investors, investor advisers and broker-investors, while also maintaining retail investors' access to...

The SEC approved a proposal to amend FINRA Rule 4570. The rule requires a broker-dealer that withdraws from SEC registration to designate a person to act as custodian of the firm's books and records.

On September 10, 2025, the SEC announced that James J. Moloney, a partner at Gibson Dunn, has been named Director of the agency's Division of Corporation Finance, effective in October.

The SEC approved Options Clearing Corporation ("OCC") rule amendments enhancing the "Vanilla Option Model" and "Smoothing Algorithm."

The SEC Division of Corporation Finance granted no-action relief from Securities Exchange Act Rule 14e-5 requirements to a managed ETF in connection with the creation and redemption of units.

The SEC announced the creation of the Office of Risk and Strategy, led by Peter Driscoll, that will enhance the regulator's oversight of financial advisers.

The SEC Division of Corporation Finance Office of Mergers and Acquisitions granted no-action relief to an exchange-traded fund ("ETF") from requirements under SEA Rule 14e-5

Earlier this week, the SEC’s Office of Investor Education issued an Investor Alert that highlights some of the warning signs for investors that an unregistered offering may be an investment scam.

The SEC named LizAnn Eisen as the Deputy Director of the Disclosure Program in the Division of Corporation Finance.

On December 6, 2019, the U.S. Securities and Exchange Commission rejected a proposed New York Stock Exchange ("NYSE") rule change that would allow companies to raise capital in a direct ...

Yesterday the SEC staff issued CD&I 105.09 ...

SEC rules require 20 business days. In the incoming letter, the company's legal counsel explained that the 10-business-day period was mandated by Indian law.

The SEC has provided very short notice of an open meeting to consider proposed rules under Title III of the JOBS Act.

We hope that the SEC engages actively with the securities exchanges to facilitate the listing of securities of issuers concurrently with the pricing of their Regulation A+ (a/k/a 3(b)(2)) offerings.

Continuing their heightened focus on the information security practices of regulated fi rms, both the Securities and Exchange Commission (SEC) ..

With his selection of deal-making attorney Walter "Jay" Clayton to head the U.S. Securities and Exchange Commission, President-elect Donald Trump is signaling that the agency will try to reduce regulations...

On July 31, 2018, the Division of Corporation Finance issued two Compliance and Disclosure Interpretations (CDIs) addressing Notices of Exempt Solicitation in connection with Exchange Act Rule 14a-6(g)(1).