The Office of the Comptroller of the Currency (OCC), the federal regulator of national banks and federal savings associations, has challenged the application of California’s climate disclosure laws to those institutions, citing interference with federal banking powers and supervision. In
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Preparing for the 2027 US Proxy & Annual Reporting Season
Webinar | November 12, 202611:45 p.m. – 1:00 p.m. ESTRegister here.
Each proxy season brings new disclosure priorities and investor expectations, and 2027 will be no exception. The SEC is rethinking the shareholder proposal process, proposing optional semiannual reporting…
SEC Division of Corporation Finance Adds Three New FAQs on Crypto Asset Classification
By Evan Eldridge & Liz Walsh
On November 2, 2026, the Staff of the Division of Corporation Finance (the “Division”) of the Securities and Exchange Commission (the “SEC”) added new Questions 1.4 through 1.6 to its frequently asked questions (the “FAQs”) on how the federal securities…
SEC Remarks at the Small Business Capital Formation Advisory Committee Meeting: The IPO Modernization Initiative and Regulation Crowdfunding
At the October 27, 2026 meeting of the Securities and Exchange Commission’s (the “SEC”) Small Business Capital Formation Advisory Committee (the “SBCFA”), Chair Paul S. Atkins and Commissioner Mark T. Uyeda discussed the SEC’s initial public offering (“IPO”) modernization initiative,…
Expansion of Eligibility to Use Form S-3 by Voluntary Filers
By Liz Walsh
Pursuant to the general instructions to Form S-3, an issuer must have been subject to the reporting requirements of Section 12 or 15(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), for at least the prior…
Amendments to FINRA Rule 2210 Permit Use of Projected Performance and Targeted Returns in Broker-Dealer Communications Subject to Specified Conditions
On October 15, 2026, the Securities and Exchange Commission (“SEC”) approved amendments to Rule 2210 (Communications with the Public) of the Financial Industry Regulatory Authority, Inc. (“FINRA”), allowing member firms to project performance or provide a targeted return with respect…
FINRA Amends Rules 5110 and 5123; SEC Approves CIT Exemption
On October 21, 2026, the Financial Industry Regulatory Authority, Inc. (“FINRA”) published Regulatory Notice 26-19 announcing amendments to FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) and Rule 5123 (Private Placements of Securities). The amendments are part…
SEC Staff of the Division of Trading and Markets Issues FAQs on the Innovation Exemption
On October 20, 2026, the Staff of the Division of Trading and Markets (the “Division”) of the Securities and Exchange Commission (the “SEC”) published frequently asked questions (the “FAQs”) regarding the SEC’s September 17, 2026 order (the “Innovation Exemption Order”).…
New CFIs on Instruction 4 to Item 2.01 of Form 8-K (and Some Clean-up Changes)
By Liz Walsh
On October 21, 2026, the Staff of the Securities and Exchange Commission’s Division of Corporation Finance published a handful of new Corporation Finance Interpretations, or CFIs, as well as revised and withdrew some previously existing CFIs. The Staff has done…
SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds
On October 9, 2026, the Securities and Exchange Commission proposed amendments to Rule 17a-7 under the Investment Company Act of 1940, as amended, that would expand the types of securities eligible for cross trading between registered investment companies (“registered funds”)…