- An Overview of Reg M, specifically, Rules 101 and 102
- Revisiting
FINRA Sweep Letter: Concentrations in Non-Principal Protected “Worst-of” Structured Notes
FINRA is conducting a targeted review of member firm practices related to the supervision of non-principal protected “worst-of” structured notes over a look-back period of 2022 through the end of 2025. FINRA’s focus is on Regulation Best Interest, including the Care Obligation, and how member firms supervise customer concentrations in “worst-of” structured notes. FINRA is
Fine Print: A Conversation between Lloyd Blankfein and William D. Cohan
Book Talk | Register here.
June 9, 2026 | 6:00 p.m. – 8:00 p.m. ET
The Whitby Hotel, 18 W 56th, New York
The Fine Print series continues with Lloyd Blankfein joining Puck’s Wall Street author William D. Cohan to discuss Blankfein’s insightful and inspiring memoir, Streetwise: Getting to and Through Goldman Sachs
Chair Atkins Previews Additional Potential IPO and Communications Rules Changes
Speaking today at the Stanford Rock Center for Corporate Governance, Securities and Exchange Commission (“SEC”) Chair Atkins recapped a number of the key achievements and rulemaking proposals, including the two significant proposals released just last week, about which we blogged (see our first post and second post), all of which are intended to encourage
Leveling the Shelf: The SEC’s Proposal on Registered Offering Reform
On May 19, 2026, the U.S. Securities and Exchange Commission (the “SEC” or the “Commission”) proposed extensive amendments to the registered offering framework under the Securities Act of 1933, as amended (the “Securities Act”). The SEC’s rulemaking proposal on Registered Offering Reform (the “Proposal”) has the potential to be the most significant offering reform in
SEC Proposes Rules Simplifying Filer Status Determinations and Increasing Disclosure Accommodations
On May 19, 2026, the U.S. Securities and Exchange Commission (the “SEC”) published two rulemaking proposals, each of which would substantially revise the requirements of the U.S. federal securities laws applicable to public companies. These proposals mark the next step in SEC Chair Paul Atkins’ mission to grow the U.S. capital markets and “make IPOs
SEC Proposes Rules to Enhance Filer Accommodations and Simplify Filer Status for Reporting Companies
As noted in our earlier post, the Securities and Exchange Commission (“SEC”) released two rulemaking proposals aimed at overhauling how public companies access the capital markets and address their ongoing reporting obligations.
The second rulemaking proposal, “Enhancement of Emerging Growth Company Accommodations and Simplification of Filer Status for Reporting Companies,” would simplify the filer
SEC Proposes Rules to Reform Registered Offering Framework
Today, the Securities and Exchange Commission (“SEC”) proposed two sets of rule amendments aimed at overhauling how public companies access the capital markets and meet their ongoing reporting obligations. The first rulemaking proposal, “Registered Offering Reform,” seeks to modernize the registered offering framework by, among other things, broadening eligibility for streamlined registration forms and extending
The Past is Prologue – Availability of SEC Registration for Canadian Covered Bonds
In 2012, the SEC Staff granted no action relief to Royal Bank of Canada to register covered bonds on a Registration Statement on Form F-3. Even though covered bonds are not “asset-backed securities,” that relief was predicated on the covered bond Guarantor complying with certain reporting requirements under Regulation AB. When Regulation AB was amended
SEC Publishes Proposing Release on Semiannual Reporting: Proposal Specifics and Practical Implications
On May 5, 2026, the U.S Securities and Exchange Commission (the “SEC”) published a long-awaited release (the “Proposing Release”) proposing changes to certain rules which, if adopted, will allow (but not require) registrants to file semiannual reports on new Form 10-S in lieu of quarterly reports on Form 10-Q to meet their interim reporting obligations