On March 4, 2024, JD Supra recognized Anna Pinedo as a Top Author for securities law topics as part of its 2024 Client Choice Awards. This is the second year in a row and fourth time Anna has received this distinction in
Free Writings + Perspectives
News and Views on Securities Regulation and Capital Formation
Latest from Free Writings + Perspectives - Page 2
ESG and SEC Enforcement
As we anticipate, with some trepidation, this week’s final climate change disclosure rules from the Securities and Exchange Commission, it’s important to remember that those rules will remain only a part of the agency’s ESG agenda. There are several pending proposed…
House to Consider Capital Formation Bills
On March 5, 2024, the House will consider capital formation related legislation, H.R. 2799. This was originally introduced in April 2023 and reported out in July 2023. It is comprised of 19 separate bills. The House Financial Services Committee heard…
Accredited Investor Definition Recommended Changes
As we previously posted, the Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee met last week to consider changes to the accredited investor definition, which has become a political hot potato. In remarks to the Committee, Commissioner Uyeda…
Climate-Related Disclosures for Investors
The SEC announced an open meeting for March 6, 2024 to vote and consider adoption of final climate-related disclosure requirements for public companies. This comes after nearly two years since the SEC first proposed its controversial rules. Based on public statements from…
SEC Adopts Rules to Require Registration of Certain Persons Engaging in Liquidity-Providing Activities as “Dealers” and “Government Securities Dealers”
Certain Principal Trading Firms, Private Funds, Investment Advisers and Other Market Participants May Become Subject to Registration
On February 5, 2024, the U.S. Securities and Exchange Commission (“SEC”) adopted new rules – SEC Rules 3a5-4 and 3a44-2 (collectively, the “Final…
Anticipating CS3D’s Global Impact on Human Rights and Environmental Due Diligence
March 6, 2024 Webinar10:00 a.m. – 11:00 a.m. ESTRegister here.
Following a remarkable U-turn, discussions continue to take place on the adoption of the EU Corporate Sustainability Due Diligence Directive (“CS3D”), which would introduce mandatory human rights and environment…
Artificial Intelligence, the Movies and Hallucinations
In recent wide-ranging remarks punctuated with a number of movie references and analogies (some that I confess were lost on me), Securities and Exchange Commission Chair Gensler spoke about various aspects of Artificial Intelligence (“AI”). The Chair noted, as he…
SEC Small Business Advisory Committee Meeting to Discuss Accredited Investor Definition and IPO Market
The Securities and Exchange Commission announced that on February 27, 2024, the Small Business Capital Formation Advisory Committee will hold a meeting, which will be webcast. The SEC Office of the Advocate for Small Business Capital Formation will provide an…
WhatsApp All Over Again: The SEC Brings More Recordkeeping Charges Against Broker-Dealers and Investment Advisers for Off-Channel Communications
On February 9, 2024, the Securities and Exchange Commission (“SEC”) announced charges against several broker-dealers and investment advisers for failures by the firms and their employees to maintain and preserve electronic communications. The firms’ penalties ranged from $8 to 16…