Topic
Securities
6,661 published works
India Corporate Law
Purpose is No Defence: Supreme Court’s ruling and the Roadmap for Insider Trading Compliance
By Aditya Prasad, Astha Tambi, Ayushi Mehta
Summary: By affirming that insider-trading liability under the 2015 PIT Regulations turns on possession of information and not the purpose behind the trade, the Court has shut the door on…
Compliance Building
Extending Compliance Dates for Form PF
The Securities and Exchange Commission and the Commodity Futures Trading Commission jointly agreed to further extend the compliance deadline from October 1, 2026 to July 1, 2027. That means it…
Free Writings + Perspectives
SEC Proposes Rescission of Investment Adviser “Pay-to-Play” Rule
By Leslie S. Cruz, Jodi Erlandsen, Adam D. Kanter, Robert Kim, Mickey Leibner, Peter M. McCamman, Joseph Seliga
On September 3, 2026, the US Securities and Exchange Commission (“SEC” or the “Commission”) proposed the rescission of Rule 206(4)-5 under the Investment Advisers Act of 1940 (the “Advisers Act”), widely known…
Government Enforcement, Compliance & Investigations Report
New Rules, New Risks: Securities and Commodities Enforcement Update
By Jeff Le Riche, Sarah Razaq Sallis, Kip Randall, Sydney Sznajder
The first eight months of 2026 brought significant changes to securities and commodities regulation and enforcement. This update rounds up key developments stakeholders should monitor for the remainder of the…
The CLS Blue Sky Blog
Shadow SEC Statement No. 14: Reject the Clarity Act
By Renholding
Both Congress in the Clarity Act and the SEC in Regulation Crypto are moving to redefine the playing field for cryptocurrency. We will address each in a separate statement. We…
The CLS Blue Sky Blog
Arnold & Porter Discusses End of SEC Responses to No-Action Requests on Shareholder Proposals
By Renholding
Exchange Act Rule 14a-8 addresses when a company must include a shareholder’s proposal in its proxy statement for an annual or special meeting ofshareholders. In order to have a proposal…
Katten Law: In the news
Susan Light on FINRA's Push for Stronger Due Process and Transparency
The Hedge Fund Law Report spoke with Partner and Broker-Dealer Regulation Co-Chair Susan Light about a new Financial Industry Regulatory Authority (FINRA) report, released on June 30, 2026, as part…
Government Enforcement, Compliance & Investigations Report
Longer Reporting Cycles, Larger Enforcement Risks: What the SEC’s Semiannual Proposal Means for Compliance
By Kip Randall
Today, Sarah Razaq Sallis authored The Beat Goes On: Investors, Enforcers and the Potential Consequences of a Longer Reporting Cycle in the Dow Jones Risk Journal. Sarah explains that the…
Ryan P. Smith Law Blog
Federal Preemption
I recently had the opportunity to assist the Alternative & Direct Investment Securities Association (ADISA) with a comment letter to the Securities and Exchange Commission concerning the SEC’s proposed reforms…
Media Mentions: Wiley
Mark Renaud Quoted by PitchBook News About Impact of Scrapping SEC's "Pay-to-Play" Rule
By Wiley Rein
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