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Acting SEC Chair’s Directive Signals Changes Coming for Climate Risk Disclosures

USA - March 1 2021 The acting chair of the U.S. Securities and Exchange Commission (“SEC”) last week issued a statement (available here) directing the agency to focus…

Eric Waeckerlin, Jason C. Moore.

SEC Amends Rules to Harmonize, Simplify and Improve Exempt Offering Framework

USA - November 9 2020 On Nov. 2, 2020, the Securities and Exchange Commission ("SEC") approved rule amendments "to harmonize, simplify, and improve the multilayer and…

Marcela A. Dye, Trayton D. Oakes.

SEC Proposes Conditional Finders Exemption From Broker Registration

USA - October 15 2020 On Oct. 7, 2020, the Securities and Exchange Commission (SEC) proposed a conditional exemption from the broker Registration Requirements of Section…

SEC Amends Accredited Investor Definition

USA - August 28 2020 On Aug. 26, 2020, the Securities and Exchange Commission (SEC) announced amendments to the definitions of “accredited investor” and “qualified…

Jeffrey M. Knetsch, Trayton D. Oakes.

U.S. Financial Services Providers May Be Required to Complete a BE-180 Benchmarking Survey for Fiscal Year 2019

USA - August 4 2020 The U.S. Bureau of Economic Analysis (the "BEA") is conducting a Form BE-180, Benchmark Survey of Financial Services Transactions Between U.S…

John S. Kyed.