New Public Alternative Funds - 14 September, 2017

On Wednesday, July 15, CFPB Director Richard Cordray assured the Senate Banking, Housing and Urban Affairs Committee, as well as the public, that data collected by the CFPB could not be used to personally identify any consumer.

The final rule goes into effect on November 9, 2020.

In a registration filing with the SEC, an investment firm is seeking approval of a series of double-leveraged bullish and bearish exchange-traded funds ("ETFs") that each track the performance of a single U.S.-listed equity security.

Climate disclosure regulations are among the most significant and complex challenges faced by companies and boards, with a variety of requirements emanating this year from numerous governmental authorities...

On September 30, 2026, the Securities and Exchange Commission (SEC) issued two rule proposals and five notices aimed at expanding investors’ access to private markets. The package would add ways to qualify as an accredited investor, including passing a new exam administered by the Financial Industry Regulatory Authority (FINRA), broaden performance-based compensation and modernize regulated funds, including interval funds and business development companies (BDCs).

The SEC has proposed sweeping amendments to expand retail investor access to private market strategies, including changes to performance-based compensation rules for registered investment advisers and modernization of the interval fund framework. The proposals also explore new credential-based pathways for individuals to qualify as accredited investors, potentially opening private offerings to a broader pool of eligible participants.

The SEC has approved new NYSE and NYSE American listing rules establishing a $0.25 minimum trading price, effective July 1, 2027. A single closing price below this threshold triggers immediate trading suspension and delisting proceedings with no cure period. Companies trading at low share prices must act now during the transition period to implement reverse stock splits and establish monitoring procedures before this hard floor takes effect.

The Securities and Exchange Commission has approved FINRA Rule 3290, which will replace existing rules governing outside business activities and private securities transactions for registered persons. This new rule narrows the scope to focus on investment-related activities while maintaining similar supervisory obligations for member firms. Understanding the key changes and implementation requirements will be critical for broker-dealers as they update their compliance policies and procedures.

As AI infrastructure spending surges toward $697 billion in 2026, hyperscalers and compute providers are increasingly turning to debt, structured financing, and GPU-backed collateral to fund expansion. While demand projections remain bullish, a critical timing gap is emerging between capital deployment and cash flow generation, creating significant risks for lenders, sponsors, and operators across the ecosystem.

The SEC has issued a groundbreaking Innovation Exemption allowing tokenized securities venues to facilitate trading of tokenized NMS stocks using automated market makers and liquidity pools. This temporary five-year exemption from exchange and dealer registration requirements establishes conditions for permissioned blockchain-based trading while granting public companies a 30-day window to object to third-party tokenization of their securities.

On January 12, 2026, President Trump announced via Truth Social: "[e]ffective immediately, any Country doing business with the Islamic Republic of Iran will pay...

On September 18, 2026, President Donald Trump signed into law the Lindsey O. Graham Sanctioning Russia and Iran Act of 2026 (Act), a significant package of sanctions, trade restrictions and related measures...

The US Department of the Treasury’s Office of Foreign Assets Control (OFAC) today issued Russia-related General License 135 (GL 135), “Authorizing Transactions Related to the Sale, Delivery...

The U.S. Department of Homeland Security published a final rule that will shift the H-1B cap registration selection process from a random lottery to a weighted selection process...

China has a VAT rebate system that reduces the 13% domestic value-added tax (VAT) on certain exported goods.

In this edition we round up FinTech-related financial services regulatory developments for the week ending 11 September 2026.

On August 18, 2026, the Securities and Exchange Commission (SEC or Commission) released its first regulation proposal addressing crypto assets, appropriately titled Regulation Crypto Assets...

SIAC Annual Report 2025: Key Statistics, Trends, and Takeaways for International Arbitration Practitioners

Shareholder derivative action, unfair competition claims and challenges to validity of HKIAC arbitration agreements, some brought against affiliates of contractual party, held to be vexatious, abusive and oppressive.

Following the recent trade talks between China and the US on the sidelines of the APEC summit in South Korea, China has agreed to suspend its earlier proposed export restrictions on key sectors...