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Special Purpose Acquisition Companies (SPACs)

USA - May 2 2022 On March 30, 2022, the U.S. Securities and Exchange Commission (SEC) approved, by a 3-to-1 vote, a 372-page proposal of numerous rules regarding…

Alan I. Annex, Kenneth A. Gerasimovich, Laurie L. Green, Alex Linhardt, Jason T. Simon, Daniel J. Tyukody, Brian N. Wheaton

SEC issues long-awaited proposed rule on climate disclosures

USA - March 22 2022 Registered public companies would be required to report their greenhouse gas (GHG) emissions and certain information regarding climate-related…

Christopher J. Neumann, Bernadette M. Rappold

2021 SEC Examination Priorities for Securities Industry Registrants

USA - March 26 2021 The Division of Examinations (the Division) (formerly known as the Office of Compliance Inspections and Examinations, or OCIE) of the U.S. Securities…

Claudio J. Arruda, Richard M. Cutshall, Arthur Don, Steven M. Felsenstein, Steven M. Malina

SEC Disgorgement Lives to See Another Day After Supreme Court’s Liu v. SEC Ruling

USA - June 30 2020 On June 22, 2020, in Liu v. SEC, the Supreme Court affirmed in an 8-1 ruling that the Securities and Exchange Commission may continue to pursue…

Sarah M. Mathews

SEC Proposes Conditional Exemption for Certain Activities of Registered Municipal Advisors

USA - December 18 2019 Section 15 (a)(1) of the Securities Exchange Act of 1934 (Exchange Act) generally prohibits a broker or dealer from effecting “any transactions in…

Vincent Lewis, William B. Mack