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The rules are not without drawbacks, and companies should learn the rules of the road before starting a crowdfunding offering.

Arnold & Porter's Capital Markets team invites you to a webinar discussing recent SEC guidance applicable to public companies' reporting and compliance.

The National Futures Association ("NFA") submitted a proposal to update the risk disclosure statement for security futures contracts that broker-dealers are required to provide to a customer prior to trading.

Several provisions of the California General Corporation Law that require filing with the Secretary of State specify that the filed instrument must include the Secretary of State's file number. E.g., Cal. Corp. Code §§ 1502(a)(1) & 1113(g)(2)(A).

A press release by the National Venture Capital Association (NVCA) and Thomson Reuters reports a significant jump in the number of VC-backed IPOs during the second quarter of 2015.

Last week, the New York Stock Exchange (NYSE) Group announced that it had raised $136 billion from 397 transactions, including IPOs and follow-on financings, in 2015.

The Office of the Comptroller of the Currency ("OCC") published an updated "Municipal Securities Rulemaking Board Rules" booklet of the Comptroller's Handbook.

OppenheimerFunds and Carlyle partnered to launch OFI Carlyle Private Credit Fund.

On March 31, 2025, members of the U.S. House of Representatives Committee on Financial Services sent a letter to Mark Uyeda, Acting Chairman of the U.S. Securities and Exchange Commission.

Non-U.S. broker-dealers conducting business with U.S. persons are subject to specific regulatory requirements. Our Topic Page on non-U.S. broker-dealers and Exchange Act Rule 15a-6 ("Exemption of Certain Foreign Brokers or Dealers") ...

President Trump signed a joint resolution (H.J. Res. 41) to nullify an SEC final rule regarding the disclosure of payments by resource extraction issuers.

Blind trusts are typically associated with politicians who seek to avoid conflicts of interest while occupying public office.

In a public statement, SEC Chair Gary Gensler marked the commencement of real-time reporting for securities-based-swap transactions.

This week we highlight NYU's SEC Enforcement Activity against Public Companies and Their Subsidiaries - Midyear FY 2016 Update

On July 26, 2023, the SEC adopted rules requiring public companies and foreign private issuers (i) to timely disclose material cybersecurity incidents...

Most of the SEC's new disclosure simplification rules will become effective tomorrow.

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...