Sidley Securities Enforcement and Regulatory

The SEC has delayed the start date for Rule 10c-1a reporting to FINRA's Securities Lending and Transparency Engine to Sept. 28, 2026. Here’s what firms should know as they prep for compliance: bit.ly/4mnWVaw

Sidley’s Securities Class Actions in the Life Sciences Sector report addresses developments in securities class actions brought against life sciences companies in 2023. Read the full report below. sidley.com/en/insights/pu…

On March 6, @SECGov adopted final rules that will require domestic and foreign registrants to include extensive climate-related information in their registration statements and periodic reports. Read below for our insights. sidley.com/en/insights/ne…

Tune into the latest episode of Sidley’s #MutualFundMinute podcast, where @SECGov Commissioner @HesterPeirce joins host @JayBaris to share her views on a wide range of topics concerning #mutualfunds and #investmentmanagement. sidley.com/en/insights/po…

The @CFTC is proposing to allow futures commission merchants to treat separate accounts of the same beneficial owner as accounts of different legal entities for purposes of the CFTC’s margin adequacy regulations. Read below for our insights. sidley.com/en/insights/ne…

In the latest “Sidley Blockchain Bulletin,” we highlight certain actions by @SECGov, @FINRA, @IRSnews, @HawaiiDFI, and @CFPB. Read here for our insights on several notable developments related to #blockchain and #digitalassets across various disciplines. sidley.com/en/insights/ne…

On Feb. 16, @SECGov’s Office of Credit Ratings issued its statutorily mandated annual staff report on credit rating agencies registered as Nationally Recognized Statistical Rating Organizations. Read below for our insights on the report. sidley.com/en/insights/ne…

Join Sidley partners Colleen Brown, William Long, Glenn Nash, and Rollin Ransom on Wednesday, February 21 for “Artificial Intelligence – A Market and Key Issues Overview.” Learn more and register below. #AI #artificialintelligence sidley.com/en/insights/ev…

Read here for our insights on @FinCENnews' advanced notice of proposed rulemaking seeking to impose anti-money-laundering/counter-terrorist financing program requirements for @SECGov’s registered investment advisers and SEC exempt reporting advisers. sidley.com/en/insights/ne…

On Feb. 6, @SECGov expanded the scope of firms that must register as “dealers,” including certain private funds. Read here for our key takeaways from the Commission’s newly adopted rules. sidley.com/en/insights/ne…

The @CFTC is seeking public input on the risks and benefits of #artificialintelligence in the markets they regulate. They've also delivered a stark investor warning about the threat of #AI fraud in those same markets. Read our insights below. sidley.com/en/insights/ne…

It appears everything is a risk, according to our analysis of @FINRA’s 2024 Annual Regulatory Oversight Report. It covers more than 20 regulatory areas, including new sections on #cryptoasset development and @SECGov’s Market Access Rule. Read more below. sidley.com/en/insights/ne…

On Jan. 23, @FINRA issued long-awaited guidance on new Residential Supervisory Location and Remote Branch Office Rules, including the effective dates for each of the rules and the expiration of certain Covid-19 regulatory relief. Read here for our insights.sidley.com/en/insights/ne…

Sidley has been recognized as a 2023 “Practice Group of the Year” in Compliance by @Law360. Learn more about our Securities Enforcement and Regulatory group here. #securitiesregulation #compliance sidley.com/en/newslanding…

.@SIFMA’s C&L Society’s Forum, “FINRA’s 2024 Priorities,” on Feb 1., features @FINRA executives discussing FINRA’s 2024 Annual Regulatory Oversight Report. Sidley is venue sponsor for this sold-out event, but click here to access the waiting list: events.sifma.org/finra-prioriti….

The Fifth Circuit Court of Appeals vacated @CFTC’s US$6.5 million jury verdict for lack of fair notice of an interpretation of a rule preventing commodities traders from “taking the other side of orders” without clients’ consent. Read our insights here. sidley.com/en/insights/ne…

The U.S. Congress passed the Foreign Extortion Prevent Act (FEPA), a new anti-bribery law being described as “the most sweeping and consequential foreign bribery law in nearly half a century.” Read here for our insights. sidley.com/en/insights/ne…

.@SECGov adopted a Final Rule under the Exchange Act to require central clearing of certain secondary market transactions involving U.S. Treasury securities. Read here for our insights into its scope, implementation, and more. sidley.com/en/insights/ne…

In the latest Coffee, Tea & SEC, Kwaku Akowuah (co-lead of Sidley’s #SupremeCourt and Appellate practice) joins @SidleySecReg partners Hardy Callcott and Barry Rashkover to discuss the constitutional challenges shaping the #securities regulatory landscape. vimeo.com/895864131

.@SECGov recently finalized a rule prohibiting certain conflicts of interest in securitization transactions. Read here for our insights into the final rule and key differences from the Commission’s initial proposal. sidley.com/en/insights/ne…