Topic
Securities
6,656 published works
Across The Board
SEC Gives the Greenlight to Retail Investor Voting Programs
By Liz Walsh
The Office of Mergers and Acquisitions in Securities and Exchange Commission’s (the “Commission”) Division of Corporation Finance recently published two no-action letters agreeing not to recommend enforcement action related to…
The CLS Blue Sky Blog
Cahill Discusses SEC’s “Innovation Exemption” for Tokenized Stock Trading
By Martinyerovi
On September 17, 2026, the Securities and Exchange Commission (the “Commission” or the “SEC”) issued two conditional exemptions to facilitate permissioned trading of tokenized national market system (“NMS”) stocks.[1] Collectively…
Free Writings + Perspectives
SEC Proposes Amendments Addressing Retailization; Modernizing Regulated Funds and Performance-Based Compensation
By Leslie S. Cruz, Brian Hirshberg, Adam D. Kanter, Anna T. Pinedo
On September 30, 2026, the Securities and Exchange Commission (the “SEC”) issued two proposing releases containing amendments that would materially affect how business development companies (“BDCs”) that have elected to…
Climate Law Blog
What Does Securities Deregulation Mean for Climate Risk?
The Securities and Exchange Commission’s (SEC’s) proposal to rescind its 2024 climate-disclosure rule marked a significant reversal of efforts to surface and standardize information about climate-related financial risk. But underlying…
The CLS Blue Sky Blog
Shadow SEC Statement No. 15: Regulation Crypto
By Renholding
On September 15, the Clarity Act failed to secure a cloture vote in the U.S. Senate, with four Republicans and all 47 Democrats voting against considering the bill at this…
Roberts Disability Law Blog
When Is an ERISA “Regular Occupation” Your Specialty? Court Orders Unum to Reinstate a Securities Lawyer’s Disability Benefits
In Macpeak v. Unum Life Insurance Company of America, No. 24-1650, 2026 WL 2906206 (E.D. Pa. Sept. 28, 2026), the United States District Court for the Eastern District of Pennsylvania…
The D&O Diary
New Market Manipulation-Related Securities Suit Filed Against Ryde Group
By Sarah Abrams
As we have detailed in prior posts (most recently here), one of the key securities class action litigation filing trends this year has been the emergence of a host of…
Free Writings + Perspectives
SEC Staff Issues No-Action Relief for “Zero Cash Balance” Brokerage Account Models
By Evan Eldridge, Steffen Hemmerich, Ali Perry
On September 17, 2026, the Staff of the Division of Trading and Markets (the “Division”) of the Securities and Exchange Commission (the “SEC”) issued two no-action letters addressing the net…
Global Investment Watch
United States: Open (Hand)book for SEC Exams: A Useful Tool for the Uninitiated
By: Pablo J. Man, Neil T. Smith, and Hayley Trahan-Liptak A call from the Staff at the Division of Examinations (Exams) of the Securities and Exchange Commission (SEC or the…
Free Writings + Perspectives
Proposed Expansions to the Accredited Investor Definition for Natural Persons
By Anna T. Pinedo, Liz Walsh, Jennifer Zepralka
Earlier this week, the Securities and Exchange Commission continued to implement its capital-formation agenda by publishing a number of notices aimed at modernizing the definition of “accredited investor,” including introducing…