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
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.
Latest from Free Writings + Perspectives - Page 6
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…
SEC and CFTC Jointly Request Comment on Product Definitions
On June 18, 2026, the Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) issued a joint request for public comment regarding potential updates to the definitions of “swap” and “security-based swap,” along with other interpretive issues arising…
Small Business Capital Formation Advisory Committee Re-Engages Focus on IPOs
On July 8, 2026, the Securities and Exchange Commission (the “SEC”) announced that its Small Business Capital Formation Advisory Committee (the “SBCFA”) will hold a public meeting on July 21, 2026 to explore ways to modernize public market access and…
Blockers and Beyond: Second Circuit Confirms Effectiveness of Beneficial Ownership Blockers Under Section 16(b)
The U.S. Court of Appeals for the Second Circuit recently provided guidance regarding Section 16(b) short-swing profit liability for corporate issuers and institutional investors. On July 7, 2026, the court affirmed the dismissal of an action brought by the post-bankruptcy…
SEC No-Action Letter on Bail-In Securities
On July 8, 2026, the staff (the “Staff”) of the Division of Corporation Finance (the “Division”) of the Securities and Exchange Commission (the “SEC”) issued a no-action letter (the “No-Action Letter”) in response to an incoming letter submitted on behalf…
New Corporation Finance Interpretations on Beneficial Ownership Reporting and Other Topics
By Liz Walsh
On July 9, 2026, the Securities and Exchange Commission’s Division of Corporation Finance issued a number of new Corporation Finance Interpretations (“CFIs”) (marking more than 150 new and revised CFIs since January 2025!). The new CFIs focus on Exchange Act…
SEC Staff Issues New Guidance on Registration Statement Requirements for Listed Rights in Business Combinations
By Marc Leong
On June 23, 2026, the Securities and Exchange Commission’s (“SEC”) Division of Corporation Finance (the “Division”) issued a new Corporation Finance Interpretation (“CFI”), providing guidance on the disclosure requirements when a company seeks to list rights on a national securities…