Topic
Securities
6,661 published works
Free Writings + Perspectives
SEC Moves to Retailize Private Markets
The Securities and Exchange Commission (“SEC”) has taken another step toward expanding retail investor access to private markets. On August 31, 2026, the SEC submitted its planned rulemaking, Enhancing Retail Exposure…
Free Writings + Perspectives
From Paper Ledgers to Blockchain: SEC Proposes Transfer Agent Rule Modernization
By Steffen Hemmerich, Carlos E. Juarez, Anna T. Pinedo, Liz Walsh
Yesterday, on September 1, the Securities and Exchange Commission wrapped up what has been a very busy summer by proposing amendments to the rules and forms governing registered transfer agents. …
Global Fintech & Digital Assets Blog
SEC Proposes Tailored Exemptions for Cryptoasset Offerings
The Proposal would establish two offering exemptions, a conditional safe harbor for investment contracts and broad preemption of state securities laws registration and qualification requirements. By Paul M. Dudek, Zachary Fallon, Stephen…
Regulatory Oversight
SEC and FDA Unite: New MOU Creates Coordinated Regulatory and Enforcement Framework
On August 31, the U.S. Securities and Exchange Commission (SEC) and the U.S. Food and Drug Administration (FDA) executed a Memorandum of Understanding (MOU) establishing a formal framework for sharing…
The CLS Blue Sky Blog
SEC Commissioner Peirce on Proposed Transfer Agent Rules
By Renholding
I am delighted that the transfer agent rule proposal is seeing the light of day before I leave the Commission. Thank you to Jamie Selway, Elizabeth Fitzgerald, Moshe Rothman, and…
India Corporate Law
Rule 9B in Action: Practical Enforcement of Dematerialisation Requirements in Private Companies
By Sindhushri Badarinath, Swathi Cheruvattath, Anushka Gurnani
Summary: This article examines a recent adjudication order passed by the Registrar of Companies, Bangalore against a private company for effecting a transfer of shares without prior dematerialisation i.e., in…
The Securities Law Blog
SEC Proposes to Modernize Rules for Registered Transfer Agents
The Securities and Exchange Commission today proposed to update the rules and forms that apply to registered transfer agents.Transfer agents are a key component of the national clearance and settlement…
Cleary Securities, Disclosure, and Governance Watch
SEC Updates CFI Guidance: April Through August 2026 Roundup
During the April-through-August 2026 period, the SEC’s Division of Corporation Finance (Corp Fin) issued new Corporation Finance Interpretations (CFIs), formerly called Compliance and Disclosure Interpretations, in May, June, and July;…
Global Financial Regulatory Insights
SEC and CFTC Further Extend Compliance Date for 2024 Form PF Amendments
By Robert Sutton, Nathan Schuur, Caroline Spillane
On August 31, 2026, the Securities and Exchange Commission (the “SEC”) and the Commodity Futures Trading Commission (the “CFTC”) announced a further extension of the compliance date for the Form…
Across The Board
SEC and FDA Enter Into Memorandum of Understanding to Enhance Interagency Cooperation
By Ali Perry
On August 31, 2026, the Securities and Exchange Commission announced that it entered into a Memorandum of Understanding (“MOU”) with the Food and Drug Administration (“FDA”) to create a framework…