Sidley Updates
SEC Division of Enforcement Reports Overall Decrease in Enforcement Actions in 2024 Fiscal Year
Sidley Resource
Securities Enforcement and Regulatory Resource Center
Sidley Updates
FY2024 in Review: SEC Enforcement Actions Against Investment Advisers to Private Funds, Registered Funds, and Retail Clients
Sidley Updates
US SEC Division of Exams Announces 2025 Examination Priorities
Sidley Updates
It Appears Everything Is a Risk: FINRA Issues 90-page 2024 Regulatory Oversight Report
-
SECSEC Division of Enforcement Reports Overall Decrease in Enforcement Actions in 2024 Fiscal Year
-
FINRAD.C. Circuit Enjoins FINRA from Expelling Member Before SEC Review
-
Investment AdvisersFY2024 in Review: SEC Enforcement Actions Against Investment Advisers to Private Funds, Registered Funds, and Retail Clients
-
SECUS SEC Division of Exams Announces 2025 Examination Priorities
-
SECRisk Alert: SEC Staff Explains Risk-Based Approach to Registered Investment Company Examinations
-
Market StructureSEC Adopts Rules Modifying Minimum Pricing Increments, Access Fee Caps, and Order Transparency
-
Investment AdvisersCrypto-Focused Private Fund Adviser Settles with U.S. SEC for Custody Rule and Other Violations
-
SECU.S. SEC Enforcement Director Grewal Offers Insights on Cooperation With Investigations
-
SECU.S. Supreme Court Limits Use of SEC Administrative Courts in Antifraud Actions
-
Investment AdvisersU.S. Fifth Circuit Court of Appeals Vacates Private Funds Rules: What’s Next?
-
SECU.S. SEC Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information Amendments Adopted
-
Investment AdvisersSEC and FinCEN Propose Customer Identification Program Rule for Registered Investment Advisers and Exempt Reporting Advisers
-
FINRAFINRA Proposes Rules to Implement New Securities Lending and Transparency Engine (SLATE™)
-
Investment AdvisersSEC EXAMS Alert Highlights Investment Adviser Marketing Rule Exam Deficiencies
-
Market StructureSEC Adopts Amendments to Modernize Disclosure of Order Execution Information
-
Investment AdvisersSEC Files First Charges Against Standalone Investment Adviser for Off-Channel Communication Recordkeeping Failures
-
Public CompaniesIs Your Company Ready For the SEC’s New Climate Disclosure Rules? We Break Them Down.
-
Public CompaniesSEC Finalizes Climate-Related Disclosure Rules Ushering in a New Era of Public Company Climate Reporting
-
CFTCU.S. Commodity Futures Trading Commission Proposes to Modify and Codify Margin Adequacy Relief
-
SECU.S. SEC Office of Credit Ratings Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations
-
CFTC, SEC2024 Derivatives Year in Preview
-
Anti-Money Laundering, Investment AdvisersIT’S BA-ACK: FinCEN Issues Notice of Proposed Rulemaking for SEC Registered Investment Advisers and SEC Exempt Reporting Advisers
-
Market Structure, SECU.S. SEC Expands Dealer Registration Requirements, Including to Certain Private Funds
-
CFTCU.S. CFTC Seeks Public Input on Use of Artificial Intelligence in Commodity Markets and Simultaneously Warns of AI Scams
-
FINRAIt Appears Everything Is a Risk: FINRA Issues 90-page 2024 Regulatory Oversight Report
-
SECSEC Adopts Final Rules Regarding Special Purpose Acquisition Companies and De-SPAC Transactions
-
FINRALong-Awaited Guidance on New Rules Regarding Residential Supervisory Locations and Remote Branch Office Inspections
-
CFTCFifth Circuit Vacates U.S. Commodity Futures Trading Commission’s $6.5 Million Jury Verdict for Lack of Fair Notice
-
SECU.S. SEC Adopts Rules Requiring Central Clearing in the U.S. Treasury Market
-
SECConstitutional Challenges Shaping the Securities Regulatory Landscape
-
SECU.S. SEC Finalizes Rule Prohibiting Certain Conflicts of Interest in Securitization Transactions
-
Anti-Money LaunderingUpdates on U.S. Corporate Transparency Act Beneficial Ownership Reporting Requirements
-
FINRAFINRA Settlements Focus on Disclosure and Appropriateness in Retail Customer Fully Paid Lending Arrangements
-
CFTCCFTC Issues Proposed Guidance Regarding the Listing of Voluntary Carbon Credit Derivative Contracts
-
Public CompaniesAction Items for U.S. Public Companies to Consider for 2024
-
SECU.S. SEC Adopts Rules for Security-Based Swap Execution Facilities
-
SECU.S. SEC Division of Enforcement Reports Increase in Actions and High Recoveries in 2023 Fiscal Year
-
SEC, Market StructureU.S. SEC Proposes New Rule to Prohibit Certain Volume-Based Exchange Transaction Pricing
-
SEC, Anti-Money Laundering, Investment AdvisersU.S. SEC Division of Exams Announces 2024 Examination Priorities
-
CFTCU.S. CFTC Sends a Message: Higher Penalties, More Monitors and Consultants, and Fewer No-Admit/No-Deny Resolutions
-
SEC, Market StructureNew SEC Rule Requires Extensive Reporting and Disclosure of Securities Lending Information
-
SEC, Market Structure, Short Sales/Reg SHO“Get Shorty – The Sequel”: SEC Implements New Disclosure of Short Positions and Reliance on Bona Fide Market Making Exception
-
SEC, Investment Advisers2023 Fiscal Year in Review: SEC Enforcement Actions Against Investment Advisers to Private Funds, Registered Funds, and Retail Clients
-
CFTCCFTC Proposes First Major Changes to Rule 4.7 in Over 30 Years
-
SEC, Public CompaniesSEC Shortens Filing Deadlines for Schedules 13D/G; Adopts Certain Other Amendments and Issues Guidance in Lieu of Other Proposals
-
SEC, Investment AdvisersLatest Wave of SEC Off-Channel Communications Enforcement Actions: Five Takeaways
-
SECSEC Adopts Amendments to the Names Rule Under the 1940 Act
-
Public CompaniesSEC’s Cybersecurity Disclosure Rules Are Here. Is Your Company Ready to Comply?
-
SEC, Insider TradingU.S. SEC Files Litigated Charges Against Broker-Dealer and Parent for Misleading Disclosures Relating to Information Barriers
-
SEC, FINRAIncreased Focus on Partial Tender Offers and Compliance with Rule 14e-4
-
Investment AdvisersSEC Marketing Rule Enforcement: Charges Against Nine Registered Investment Advisers Over Hypothetical Performance Advertising
-
Market Structure, FINRAU.S. SEC Adopts Amendments to Expand FINRA Oversight of Proprietary Trading Firms
-
Investment AdvisersU.S. SEC Adopts Significant Changes for Advisers and Private Funds
-
Market Structure, Investment AdvisersSEC Proposes Sweeping New Rules on Use of Data Analytics by Broker-Dealers and Investment Advisers
-
Anti-Money LaunderingU.S. SEC Division of Examinations Risk Alert Focuses on Broker-Dealers Anti-Money Laundering Program Compliance
-
Public CompaniesU.S. SEC Public Company Cybersecurity Disclosure Regulation Finalized With Swift Effective Date
-
SEC, Investment AdvisersSEC Adopts New Rule Amendments for Money Market Funds and Form PF Reporting Requirements for Large Liquidity Fund Advisers
-
ESG, CFTCCybersecurity and Environmental Fraud Top Priorities of U.S. Commodity Futures Trading Commission Division of Enforcement
-
FINRAD.C. Circuit Questions Constitutionality of FINRA Hearing Officers, Enjoins Disciplinary Proceeding
-
SECWhat to Expect in SEC Rulemaking: Takeaways From the SEC’s Spring 2023 Regulatory Agenda
-
SECSEC Adopts Rules to Prevent Fraud in Security-Based Swaps, Reopens Comment Period on Large Security-Based Swap Position Reporting
-
SECU.S. SEC Replaces the Investment Grade Exceptions to Regulation M
-
Investment AdvisersSEC Adopts Significant Form PF Amendments
-
SEC, FINRARegulation Best Interest: Emerging Arbitration, Regulatory, and Enforcement Developments
-
FINRAFINRA Issues Regulatory Notice on Broker-Dealer Responsibilities in Private Placements
-
SEC, Public CompaniesNew SEC Rules Will Require More Detailed, Periodic Disclosure of Corporate Buybacks and Issuer Rule 10b5-1 Plans
-
SEC, Investment AdvisersSEC Publishes Additional Interpretive Guidance on Reg BI and Investment Adviser Standard of Care
-
Market StructureSEC Shines Spotlight on Crypto Asset Securities Trading Systems and DeFi in Reopening Comments on Reg ATS Proposal
-
SECU.S. Securities and Exchange Commission Proposes Three Rules Related to Cybersecurity, Reopens Comment for One Rule
-
CFTC“Made Available to Trade” Determination for Certain Overnight Index Swaps Linked to USD Secured Overnight Financing Rate and GBP Sterling Overnight Index Average Proposed to Go Live June 1
-
ESGSEC Announces $55.9 Million Settlement in First Action Brought by its Climate and ESG Task Force
-
Investment Advisers, SECSEC Division of Exams Announces 2023 Examination Priorities
-
Investment AdvisersSEC Division of Examinations Issues Risk Alert for Newly-Registered Advisers
-
Investment AdvisersSEC Proposes Sweeping Revisions to Advisers Act Custody Rule
-
Public CompaniesImplications of the SEC’s Recent Enforcement Action Against Activision Blizzard
-
SECSEC Re-Proposes Rule Prohibiting Certain Conflicts of Interest in Securitization Transactions
-
FINRAFINRA Issues 2023 Report on Its Examination and Risk Monitoring Program
-
Market StructureSEC Proposes Rules Related to Minimum Pricing Increments, Access Fee Caps, and Transparency of Better Priced Orders
-
Market StructureSEC Proposes Rule to Enhance Competition for Certain Individual Investor Orders
-
Market StructureSEC Proposes Amendments to Modernize Disclosure of Order Execution Information
-
Market StructureSEC Proposes Comprehensive Best Execution Framework for Broker-Dealers
-
SEC, Insider Trading, Public CompaniesSEC Adopts Significant Changes to Rule 10b5-1 Trading Regime and Related Disclosures
-
Investment AdvisersEnforcement Update: Recent SEC Actions Against Investment Advisers to Private Funds, Registered Funds, and Retail Clients
-
SECSEC Overhauls Mutual Fund and ETF Shareholder Reports
-
SECSEC Modernizes Broker-Dealer Recordkeeping Requirements
-
Investment AdvisersU.S. Adviser Marketing Rule: Compliance Deadline Approaching, Exams to Follow
-
FINRAFINRA Issues Revised Sanction Guidelines
-
SEC, Public CompaniesFinal SEC Pay-Versus-Performance Rule Will Require Extensive New Disclosures in 2023 Proxy Statements
-
FINRA, SECSEC Proposes to Expand FINRA Oversight of Proprietary Trading Firms
-
SECSEC Adopts Rules Requiring Electronic Filing for Form 13F Confidential Treatment Requests
-
SEC, Public CompaniesSEC Proposes Amendments to the Substantial Implementation, Duplication, and Resubmission Bases for Excluding Shareholder Proposals
-
Investment AdvisersSEC Requests Comment on Regulation of Information Providers Under the U.S. Investment Advisers Act
-
SECSEC to Require Electronic Filing of Forms 144 via EDGAR
-
Insider TradingSDNY Files First Indictment Related to Insider Trading of NFTs While SEC Enforcement Expands Focus on Digital Assets Broadly
-
ESG, Investment AdvisersSEC Proposes New ESG Disclosures for Investment Advisers and Funds
-
CFTCCFTC Proposes Amendments to Mandatory Clearing Requirements for Interest Rate Swaps
-
SECSEC Proposes to Expand Fund Names Rule
-
SECD.C. Circuit Upholds SEC’s Market Data Infrastructure Rules, Paving the Way for Competing Consolidators
-
SEC, Investment AdvisersWhat Fund Managers and Investors Should Know About the SEC’s Bold New Regulatory Agenda
-
SECFederal Appeals Court Holds SEC Administrative Proceedings Are Unconstitutional
-
ESG, SECSEC Brings First ESG-Related Action Since Creating Climate and ESG Task Force
-
Insider Trading, Investment AdvisersSEC EXAMS Staff Identify Deficiencies in Adviser MNPI Controls
-
SECSEC Takes Another Try at Removing Credit Rating References From Regulation M
-
SECSEC Proposes Significant Expansion of Firms That Must Register as Dealers
-
SECThe SEC Has Crypto in Its Crosshairs (Again)
-
SECSEC Announces 2022 Examination Priorities: Private Funds, ESG, Retail, Cyber, Digital Assets Top the List
-
ESGSEC Proposes Far-Reaching Rules for “Enhancement and Standardization” of Climate-Related Disclosures
-
FINRAFINRA Issues Regulatory Notice on Failure to Supervise Liability for Chief Compliance Officers
-
Anti-Money LaunderingUK Economic Crime (Transparency and Enforcement) Bill
-
SEC, Short Sales/Reg SHO“Get Shorty” Again! — What You Need to Know About The SEC’s Proposed New Short Disclosure/Short Sale and Consolidated Audit Trail Requirements
-
SECNewly Proposed SEC Cybersecurity Risk Management Rules and Amendments for Registered Investment Advisers and Funds
-
FINRAFINRA Issues 2022 Report on Its Examination and Risk Monitoring Program
-
SEC, Public CompaniesSEC Proposes to Shorten Beneficial Ownership Reporting Deadlines, Expand Scope — How Will It Affect You?
-
Investment AdvisersSEC Proposes Significant Changes for Advisers and Private Funds
-
SECSEC Proposes Significant Expansion of Regulation ATS
-
SECSEC Chair: Sweeping New Cybersecurity Rules Are Coming Soon
-
SECSEC Encourages Self-Reporting of Recordkeeping Violations Resulting From Employees’ Use of Personal Devices for Business Communications
-
Anti-Money LaunderingFinCEN Proposed Rule Will Require Many Domestic and Foreign Entities to Report Beneficial Ownership Information to the U.S. Government
-
Short Sales/Reg SHO, Investment AdvisersHedge Fund Adviser and Associated Individuals Pay Over $8 Million to SEC for “Causing” Reg SHO and Dealer Registration Violations
-
Insider TradingImplications of SEC’s Recent Insider Trading Enforcement Action in SEC v. Matthew Panuwat
-
FINRAFINRA Announces Impending Special Purpose Acquisition Company Sweep
-
ESG“How to Be ESG” — A Registered Fund Board’s Guide to ESG Compliance
-
Anti-Money LaunderingFinCEN Issues Government-Wide Priorities for Anti-Money Laundering and Counter-Terrorist Financing
-
ESG“How to Be ESG” — A Private Fund’s Guide to ESG Compliance
-
Short Sales/Reg SHO, FINRA“Get Shorty” – FINRA Requests Comment on Proposed Significant Changes to Short Position and Stock Loan Reporting
-
Anti-Money LaunderingFinCEN Seeks Public Comments on Beneficial Owner Reporting Requirements
-
Anti-Money LaunderingFINRA 2021 Report Reminds Firms Key AML Regulatory Expectations Center Around Risk
-
FINRAFINRA Issues 2021 Report on its Examination and Risk Monitoring Program
-
Anti-Money LaunderingCongress Rings in the New Year With Substantial Changes to Anti-Money Laundering Laws
Stay Up To Date