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SEC proposes monthly short sale reporting and aggregated public disclosure

USA - March 9 2022 On February 25, 2022, the Securities and Exchange Commission (SEC) proposed Rule 13f-2 under the Securities Exchange Act of 1934 (the Exchange Act)…

Elizabeth Mitchell, Timothy F. Silva

SEC proposes significant new regulatory obligations for communication protocol systems and government securities ATSs

USA - February 7 2022 The Securities and Exchange Commission (SEC) proposed significant changes to the regulation of securities trading systems that use non-firm trading…

Twane Harris, Bruce H. Newman, Andre E. Owens, Tiffany J. Smith, Cherie Weldon

SEC Proposes Significant Amendments to Form PF and One-Business-Day Reporting Requirements

USA - February 3 2022 On January 26, 2022, the Securities and Exchange Commission (SEC) proposed amendments to private fund reporting rules that would increase the…

Elizabeth Mitchell, Timothy F. Silva

SPAC Transaction Explosion Drives SEC Enforcement Focus

USA - April 2 2021 In the face of volatile markets and a global pandemic, an old capital markets vehicle has been taking the markets by storm: special purpose…

Michael Mugmon, Meredith B. Cross, Lorraine B. Echavarria, Lisa Firenze, William R. McLucas, Elizabeth Mitchell, Glenn R. Pollner, Nicole Rabner, Timothy F. Silva

CFTC 2020 Enforcement and Regulatory Developments and a Look Forward

USA - March 2 2021 Paul Architzel is senior counsel and chair of the WilmerHale Futures and Derivatives Practice, Petal Walker and Matthew Beville are special counsel…

Paul M. Architzel, Matthew Beville, Janelle Johnson, Petal Walker