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Anna Pinedo is a partner in Mayer Brown’s New York office and a member of the Corporate & Securities practice. She concentrates her practice on securities and derivatives. Anna represents issuers, investment banks/financial intermediaries and investors in financing transactions, including public offerings and private placements of equity and debt securities, as well as structured notes and other hybrid and structured products.

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On July 1, 2024, the Securities and Exchange Commission adopted rule and form amendments that require issuers of registered index-linked annuities (“RILAs”) to exclusively register their offerings on Form N-4.  The final amendments (“RILA Amendments”) are focused on increasing and simplifying disclosure to RILA investors.  Under the RILA Amendments, Forms S-1 and S-3 under the

The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee will be meeting on July 30, 2024.  The meeting will focus on changes to the U.S. Small Business Administration’s (SBA) Small Business Investment Company (SBIC) program.  The Committee will discuss capital raising by smaller businesses, including the role played by the SBA and the

A number of trade associations (The Business Roundtable, the American Investment Council, The Center for Capital Markets Competitiveness of the US Chamber of Commerce, the Investment Company Institute, the Managed Funds Association, and the National Venture Capital Association) recently published a report titled, “Investors and the Markets First: Reforms to Restore Confidence in the SEC.”

The Division of Examinations (the “Division”) of the Securities and Exchange Commission (“SEC”) recently issued a Risk Alert (the “Risk Alert”) to SEC-registered broker-dealers providing insight and additional information regarding the Division’s exam process, along with an appendix describing the types of documents and information that may be requested and reviewed during an exam. As

The Securities and Exchange Commission’s Office of the Investor Advocate recently issued its fiscal year 2025 Report on Objectives. The Report is one of two annual reports required to be filed by the Investor Advocate with the Committee on Banking, Housing, and Urban Affairs of the Senate and the Committee on Financial Services of the

The Staff of the Division of Corporation Finance posted questions and answers regarding the confidential submission process for draft registration statements. 

The guidance provides additional clarity relating to the process applicable to companies that are not emerging growth companies and that submit draft registration statements for confidential review.  For example, the Q&As address confidential treatment

The Financial Stability Board (FSB) recently issued a report on vulnerabilities in the markets for commercial paper (CP) and negotiable certificates of deposit (CDs). The report analyzes the structure of the markets, identifies vulnerabilities, and suggests reforms that policy makers might consider. It acknowledges that limitations exist, and, therefore, the adoption of the reforms will

On June 27, 2024, the Financial Industry Regulatory Authority, Inc. (“FINRA”) issued Regulatory Notice 24-09 (the “Notice”) reminding member firms that FINRA’s rules and the securities laws apply to the use of artificial intelligence (“AI”), including large language models and other generative AI (“Gen AI”) technology, just as they apply when member firms use any

In recent remarks, Securities and Exchange Commission Commissioner Lizarraga called on the SEC to move forward to implement the rulemaking mandate in Section 956 of the Dodd-Frank Act.  The Commissioner was speaking at an Americans for Financial Reform event.  Section 956 required six regulators (the banking agencies, the Federal Housing Finance Agency and the SEC)

During his remarks at a meeting of the International Bar Association’s Asset Management Industry Conference on Global Challenges and Opportunities in Boston, Commissioner Uyeda commented on investment research and the research rules.

Commissioner Uyeda commented favorably on the United Kingdom’s Financial Conduct Authority’s consultation on modifying certain research unbundling rules required by the UK Markets