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SEC Associate Director of Enforcement Stephen L. Cohen will be leaving the agency at the end of the month.

A subsidiary of the Industrial and Commercial Bank of China Limited agreed to settle SEC charges of lending "pre-released" American Depositary Receipts ("ADRs").

In a recent speech before the Principles for Responsible Investment's "Climate and Global Financial Markets" Webinar, the Securities and Exchange Commission's (SEC)...

The Securities and Exchange Commission's (SEC) Chair Gary Gensler recently made another case for mandatory climate risk disclosure rules in a speech before...

Last week, the Securities and Exchange Commission announced that it was reopening the comment period on proposed rules for listing standards for the recovery of erroneously awarded compensation.

An SEC proposal that would tailor mutual fund and exchange-traded fund disclosures to the needs of retail investors was published in the Federal Register.

Now that the election is over, it remains to be seen whether a Trump administration will do away with Dodd-Frank and dump the Department of Labor fiduciary duty rule as promised.

The SEC published in the Federal Register a final rule designed to "modernize, simplify, and enhance" Regulation S-K financial disclosure requirements.

The SEC rule mandating that the appointment or removal of a Public Company Accounting Oversight Board ("PCAOB") hearing officer be subject to agency approval was published in the Federal Register.

An SEC proposal to establish a process for registered security-based swap ("SBS") dealers and major SBS participants applying for relief from the prohibition ...

Comments must be submitted by March 15, 2019.

The SEC proposal allowing issuers to communicate with potential investors to determine whether such investors ...

The SEC proposal to improve the information disclosed regarding acquisitions and dispositions of businesses was published in the Federal Register (see here for previous coverage). Comments must be submitted by July 29, 2019.

The SEC proposal modifying the offering process for business development companies ("BDCs") and other closed-end investment companies under the Securities Act was published in the Federal Register.

The SEC proposal to establish "risk mitigation" requirements applicable to security-based swap dealers, including portfolio reconciliation, and compression and swap trading relationship documentation, was published in the Federal Register.

SEC-proposed amendments and interpretive guidance to certain rules governing security-based swap activity in a cross-border context ...

The SEC concept release reviewing the framework for exempt offerings was published in the Federal Register.