Topic
Securities
6,661 published works
Warner Norcross + Judd LLP
Virtual CCO Roundtable Series: Inside the SEC Exam: What Advisers Should Expect Now
Wednesday, September 16, 2026Virtual, Zoom12:00–1:00 p.m.Eastern TimeComplimentary The Warner Funds and Investments Industry Group Virtual Roundtable Series continues with a session on the current SEC examination landscape. More advisers are…
Gibson Dunn
SEC Proposes Sweeping Modernization of Transfer Agent Rules, Including New Restrictive Legend Requirements With Significant Implications for Capital Markets Transactions
The first comprehensive overhaul of the federal transfer agent rules in four decades would align transfer agent operations with the current T+1 standard settlement cycle, accommodate electronic and blockchain-based recordkeeping,…
The Indian Lawyer Blog
SUPREME COURT ON FRAUD IN SHARE BUYBACKS: ESCROW RELEASE DOES NOT END SEBI PROCEEDINGS
INTRODUCTION In Securities and Exchange Board of India v. Vedanta Limited & Ors., Civil Appeal Nos. 25-26 of 2024, 2026 INSC 978, the Supreme Court of India, by its Judgment…
Global Regulation Tomorrow
Regulation crypto assets: What issuers need to know
By Mark Highman, Christian Schultz, Sebastian Souchet, Claire Laytham, Gage Raju-Salicki
The SEC’s proposed Regulation Crypto Assets (Reg CA) would create new exemptions for crypto-asset fundraising and a safe harbor for certain investment contracts. While the framework may expand capital-raising opportunities,…
HLC - All Publications
From principles to prescriptive: ESMA's new annex-based test reshapes the rules on prospectus supplements for securities
By Cadwalader Wickersham & Taft
ESMA has published its final Guidelines on when a supplement will be treated as introducing a new type of security to a base prospectus, following substantial feedback to its 2025…
Bracewell LLP
SEC’s Office of Municipal Securities Looks to Add Financial Analyst to Staff
By Bracewell
The Securities and Exchange Commission’s (SEC) Office of Municipal Securities (OMS) is seeking to expand its expertise with a financial analyst role, signaling a potentially greater focus on data-driven analysis…
India Corporate Law
Dematerialisation for Foreign Shareholders: A Regulatory Gap Hiding in Plain Sight
By Megha Bharghava, Pallav Gupta, Devansh Dixit
Summary: Private companies in India are required to dematerialise their securities, but the existing demat onboarding process appears to be designed for Indian shareholders only. There is no proper onboarding…
Bam & Gad Solicitors Blog
How To Register And Obtain Licence As A Virtual Assets Service Provider (VASP) In Nigeria
How To Register And Obtain Licence As A Virtual Assets Service Provider (VASP) In Nigeria In Nigeria running a crypto exchange and regulations is still evolving, a token issuance platform,…
Bam & Gad Solicitors Blog
Analysis Of SEC’s Circular On Revised Minimum Capital For Regulated Capital Market Entities under Investment & Securities Act 2007
Analysis Of SEC’s Circular On Revised Minimum Capital For Regulated Capital Market Entities under Investment & Securities Act 2007 For the first time in a decade, the Securities and Exchange…
Corporate and Securities Law
SEC Withdraws From Shareholder Proposal Review Process, Moves to Rescind Rule 14a-8
By Jack Bowling, Scott Gootee, Andrew Arbuckle
The Division of Corporation Finance (the Division) of the Securities and Exchange Commission (SEC) announced its complete exit from the shareholder proposal review process and formally signaled its intention to…