Topic
Securities
6,656 published works
Thompson Coburn LLP
Thompson Coburn Attorneys Examine SEC’s Proposed Overhaul of Shareholder Proposal Rules
In a recent Law360 article, Thompson Coburn attorneys Brent Trame, Nabil Al-Khaled, and Christian Witte examine how recent SEC actions and a proposed rescission of Rule 14a-8 could significantly reshape…
The Securities Law Blog
SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds
The Securities and Exchange Commission today proposed amendments to the Investment Company Act “cross-trading rule,” which permits transactions in securities between a registered fund and its affiliates under certain conditions.…
Ascend With Winstead
A Roadmap for Rule 144
What is Rule 144? The Securities Act of 1933, as amended (the “Securities Act”) requires all offers and sales of securities to be registered unless there is an applicable exemption.…
Client Alerts & Publications: Chapman and Cutler LLP
SEC Proposes Significant Amendments to Modernize Performance-Based Compensation for Investment Advisers
On September 30, 2026, the Securities and Exchange Commission proposed amendments to Rule 205-3 under the Investment Advisers Act of 1940 that would expand the ability of registered investment advisers…
Across The Board
Nasdaq Eliminates Sub-$4 Initial Listing Path on the Nasdaq Capital Market
By Ali Perry
On October 7, 2026, the Securities and Exchange Commission (the “SEC”) posted notice of Nasdaq’s proposed rule change (File No. SR-NASDAQ-2026-082) to amend Nasdaq Listing Rule 5505 to require a…
Free Writings + Perspectives
The SEC as a Commission of One…
By Liz Walsh, Jennifer Zepralka
Effective on October 2, 2026, the Securities and Exchange Commission (the “Commission”) modified its quorum requirement, as set forth in SEC Organizational Rule 41 (“Rule 41”). The rule remains unchanged…
Business Law Prof Blog
And this is why I always teach agency in my BizOrgs class
By Ann Lipton
In a typical securities class action, plaintiffs name the individual company officers responsible for the alleged fraud, as well as the company itself. The company’s liability is, necessarily, predicated on…
Gibson Dunn
SEC Advances “Responsible Retailization” Package of Rule Proposals
Paired with its rule proposals, the SEC also issued five notices seeking comment on additional ways for individuals to qualify as accredited investors under Regulation D. At its September 30,…
HLC - All Publications
Cross-border SEC spotlight: Key Updates for Non-U.S. Companies – Q3 2026
By Cadwalader Wickersham & Taft
Welcome to the Hogan Lovells Cadwalader Cross-border SEC spotlight: Key updates for non-U.S. companies, a dedicated resource for non-U.S. companies listed or exploring a listing in the United States.
Public Company Advisory Blog
SEC Posts Notice of Nasdaq Amendment to Minimum Stock Price Rule for Initial Listings
By Publisher
On October 7, the SEC posted notice and immediate effectiveness of a Nasdaq amendment to Listing Rule 5505, which will require a minimum $4 stock price for initial listing on…