Securities Regulation

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On August 24, 2026, the Securities and Exchange Commission (“SEC”) published notice of the filing of a proposal by MEMX LLC to list and trade securities event contracts (File No. SR-MEMX-2026-25).  The securities event contracts would be cash-settled, European-style binary “YES” or “NO” options based on the outcome of an event related to…

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The Securities and Exchange Commission (SEC) under the leadership of SEC Chair Atkins devoted significant time and attention during the early part of the Chair’s tenure to digital assets and, while the agency withdrew a number of pending rule proposals from…

The Securities and Exchange Commission’s (“SEC”) published a report on the 45th Annual Small Business Forum (the “Forum”).  The forum took place on March 9, 2026 and featured remarks from each of the Commissioners and discussions with the public on capital formation related issues.  The report puts forward 15 policy recommendations collected from Forum participants…

The Federal Regulation of Securities Committee (the “Committee”) of the Business Law Section of the American Bar Association (“ABA”) submitted its comment letter addressing the Securities and Exchange Commission’s (“SEC”) Registered Offering Reform rulemaking proposal (the “Registered Offering Proposed Rules”), the Enhancement of Emerging Growth Company Accommodations and Simplification of Filer Status for Reporting Companies…

On June 10, 2026, the Commodity Futures Trading Commission (“CFTC” or the “Commission”) published a notice of proposed rulemaking (the “NPRM”) proposing amendments to CFTC Regulation 40.11 and the addition of Appendix F to Part 40, concerning event contracts.  The CFTC is proposing to specify the types of event contracts that may be deemed contrary…

On June 2, 2026, the U.S. Securities and Exchange Commission (the “SEC”) published its Draft Strategic Plan for fiscal years 2026-2030, formally incorporating Chair Paul Atkins’ deregulatory and innovation-focused vision into the agency’s governing framework.  The plan is organized around three strategic goals:  (1) renewing regulatory policy, (2) reforming enforcement and stakeholder engagement, and (3)…

On May 19, 2026, the SEC released two proposed rule amendments aimed at modernizing the registered offering framework and simplifying ongoing reporting obligations for public companies.  The economic analysis accompanying the “Registered Offering Reform” proposal provides a detailed snapshot of the current landscape for business development companies (“BDCs”) and closed-end funds (“CEFs”), including…

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…

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…

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…