Topic
Securities
6,661 published works
A&O Shearman
A&O Shearman advises on Bank of Montreal’s USD1 billion Limited Recourse Capital Notes offering
By A&O Shearman
A&O Shearman represented underwriters in Bank of Montreal's USD1 billion Limited Recourse Capital Notes offering, constituting Additional Tier 1 capital.
The Securities Law Blog
SEC Issues “Innovation Exemption” to Facilitate the Trading of Tokenized NMS Stock and Request for Comment
The Securities and Exchange Commission today issued an order granting temporary, conditional exemptive relief to Tokenized Securities Venues each a “TSV” from the definition of “exchange” in the Securities Exchange…
Privacy + Cyber + AI
Reg S-P Compliance Deadlines Have Passed. Is Your Firm Exam-Ready?
By Genna Garver, Kim Phan, Brianna Dally
The Securities and Exchange Commission’s (SEC) 2024 amendments to Regulation S-P are now fully in effect, with both compliance deadlines now behind us. For broker-dealers, investment advisers, private fund managers,…
Global Fintech & Digital Assets Blog
SEC Proposes Modernizing Transfer Agent Infrastructure, Including Framework for Tokenized Securities
The proposed amendments would strengthen existing transfer agent compliance, risk management, and safeguarding standards; permit the use of distributed ledger technology for recordkeeping; and introduce certain new gatekeeper obligations. By…
Global Investment Watch
United States: SEC Proposes Modernization Overhaul of Transfer Agent Rules
By Eden Kuehler
By Jon Luc Dupuy and Timothy Foley The SEC is proposing to substantively overhaul the securities transfer agent regulatory framework, which has largely remained unchanged since the paperwork-based system of…
Public Company Advisory Blog
SEC Proposes Modernizing Proxy Solicitation Rules
By Publisher
The SEC has issued a proposing release titled “Proxy Solicitation Modernization.” If adopted, the proposed amendments would eliminate certain annual report delivery and exempt solicitation filing requirements, remove a 20-business-day…
The Law and Other Anomalies
SEC Proposes Limitations on Shareholder Rights
Today the SEC has formally proposed two significant changes to the rights afforded by Federal law to stockholders in publicly traded companies. The SEC seeks to rescind Rule 14a-8 under…
Ogletree Deakins Insights
SEC and FDA Partner on Legal Compliance for Food and Drug Industries
Quick Hits On August 31, 2026, the SEC and the FDA signed an agreement to enhance cooperation on regulatory and enforcement activities. The agencies will share information related to FDA-regulated…
Across The Board
SEC Proposes Rules Rescinding Federal Regulation of Shareholder Proposals and Modernizing Proxy Solicitations
By Christopher Nickas, Ali Perry, Liz Walsh, Jennifer Zepralka
On September 16, 2026, the Securities and Exchange Commission (the “Commission”) proposed two sets of amendments to the federal proxy rules under Regulation 14A of the Securities Exchange Act of…
Foley & Lardner LLP
Is the Gig Up? Equity Compensation for Platform Workers, Influencers, and Brand Ambassadors
Share on LinkedInShare on TwitterPrintShare by EmailShare Back to top Your company may pay someone who is not on your payroll to move the needle, such as a rideshare driver…