The Securities and Exchange Commission’s (“SEC”) published a report on the 45th Annual Small Business Forum (the “Forum”). The forum took place on March 9, 2026 and featured remarks from each of the Commissioners and discussions with the public on
Free Writings + Perspectives
News and Views on Securities Regulation and Capital Formation
Free Writings + Perspectives, published by Mayer Brown, offers a collection of articles and insights covering a broad spectrum of legal topics relevant to corporate and financial sectors. The blog addresses regulatory developments, securities law, market structure changes, compliance issues, and emerging trends such as artificial intelligence and cybersecurity. It also discusses matters related to capital markets, broker-dealer regulations, trading hours, and listing standards. The content is aimed at legal professionals, corporate clients, and financial institutions seeking updates and analysis on complex transactional and regulatory challenges.
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New SEC Relief Allowing Abbreviated Tender Offers for Equity Securities and Non-Convertible Debt Securities
Webinar | August 17, 20261:00 p.m. – 2:00 p.m. EDTRegister here.
In a pair of exemptive orders issued in April and June 2026, the SEC’s Division of Corporation Finance (the “Division”) has allowed certain qualifying tender offers for equity…
Statement on Crypto Vaults and Lending Strategies
By Emily Bloom
On July 22, 2026, Securities and Exchange Commission (“SEC”) Commissioner Hester M. Peirce issued a statement cautioning cryptocurrency market participants against the notion that crypto assets and activities fall outside the scope of the federal securities laws, focusing on the…
ABA Weighs In on SEC’s Registered Offering and Filer Status Proposals; Communications Safe Harbors
The Federal Regulation of Securities Committee (the “Committee”) of the Business Law Section of the American Bar Association (“ABA”) submitted its comment letter addressing the Securities and Exchange Commission’s (“SEC”) Registered Offering Reform rulemaking proposal (the “Registered Offering Proposed Rules”),…
FINRA Aims to Strengthen Examination Program through Innovation & Transparency
In a post by its Head of Examinations, Jim Reese, the Financial Industry Regulatory Authority, Inc. (“FINRA”) announced a series of meaningful changes to its examination program as part of its “FINRA Forward” initiative. The changes are designed to make…
Amendments to FINRA Rule 5110 and Rule 5123 Approved
On July 24, 2026, the Securities and Exchange Commission (the “SEC”) approved the Financial Industry Regulatory Authority, Inc.’s (“FINRA”) proposed amendments to FINRA Rules 5110 and 5123, which were filed with the SEC in January 2026 as part of FINRA’s…
Reg E-Delivery: Giant Leap or Baby Step?
On July 16, 2026, the U.S. Securities and Exchange Commission (the “SEC”) proposed new Regulation E-Delivery (“Reg E-Delivery”), a potential modernization of the default manner in which issuers, broker-dealers, investment advisers, and other market participants provide information to investors in…
SEC Announces Roundtable on Preparations for 24-Hour Trading
By David Breyer
On July 23, 2026, the Securities and Exchange Commission (“SEC”) announced that it will host a roundtable on September 17, 2026, to discuss paths toward 24-hour trading in U.S. equity markets. The roundtable will address preparations needed to support overnight…
Institutional Debt Private Placements
Webinar | August 6, 20261:00 p.m. – 2:00 p.m. EDTRegister here.
The institutional private placement market has experienced continued and rapid growth in recent years, with new market participants playing a more significant role. In this session, we will…
FINRA Proposes Amendments to Rule 2210 Focusing on Modernizing Supervision and Review of Retail Communications to Address Evolving Communication Practices and Technologies Such as AI
On July 9, 2026, the Financial Industry Regulatory Authority, Inc. (“FINRA”) published Regulatory Notice 26-14, requesting comment on a proposal to modernize certain requirements applicable to retail communications under FINRA Rule 2210 (Communications with the Public) (the “Proposal”). The…