Securities Law
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For inhouse counsel, CFOs, CCOs, and financial professionals: daily news and analysis covering securities law, regulation, and related legal matters. A JD Supra law feed https://www.jdsupra.com/law-news/securities-law/
Proposed changes to the UK AIFM Regulations: What fund managers need to know
Proposed changes to the UK AIFM Regulations: What fund managers need to know
In July 2026, HM Treasury and the Financial Conduct Authority (FCA) published the long awaited proposed changes to the UK alternative investment...
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FCA Proposes Fundamental Overhaul of the UK Remuneration Regime for Investment Firms, Asset Managers and UCITS Management Companies
FCA Proposes Fundamental Overhaul of the UK Remuneration Regime for Investment Firms, Asset Managers and UCITS Management Companies
The Financial Conduct Authority (FCA) has proposed replacing the UK's existing remuneration codes for non-bank regulated firms with a single,...
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Key Regulatory Updates for Hong Kong Listed Companies May June 2026
Key Regulatory Updates for Hong Kong Listed Companies May June 2026
This edition summarises key developments for Hong Kong listed companies in May and June 2026, including the publication of the Stock Exchange’s...
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Nasdaq's $5 Million MVLS Rule Approved: What Issuers Need to Know About the Final Rule and the SEC’s Temporary Stay of Effectiveness
Nasdaq's $5 Million MVLS Rule Approved: What Issuers Need to Know About the Final Rule and the SEC’s Temporary Stay of Effectiveness
On Jul. 22nd, the Securities and Exchange Commission (the “SEC” or the “Commission”) approved the rule, as modified by Amendment No. 1. While the...
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SAFEs and Preferred Stock – Key Deal Terms Every Founder Should Know
SAFEs and Preferred Stock – Key Deal Terms Every Founder Should Know
SAFEs Before negotiating a term sheet for preferred stock, many early-stage companies, particularly at the seed stage, first raise capital...
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CLARITY’s Crunch Time: Senate Draft Seeks To Settle Familiar Fights
CLARITY’s Crunch Time: Senate Draft Seeks To Settle Familiar Fights
Activity-based rewards survive, but deposit-like yield does not. Section 10404 would ban interest or yield on stablecoin balances while...
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FCA Confirms Changes to UK MiFID Transaction Reporting Regime
FCA Confirms Changes to UK MiFID Transaction Reporting Regime
The changes will reduce the scope and lessen the long-term compliance burden for firms, albeit with a short-term cost.
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Parent Company Beware: Subsidiaries’ Fidelity Bond Claims May Belong to FDIC in Receivership
Parent Company Beware: Subsidiaries’ Fidelity Bond Claims May Belong to FDIC in Receivership
In March 2023, we wrote about the failure of Silicon Valley Bank (“SVB”) and potential implications of its takeover by the Federal Deposit...
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Hong Kong: Securities and Futures Commission’s first ransomware-related enforcement action signals tougher cybersecurity stance
Hong Kong: Securities and Futures Commission’s first ransomware-related enforcement action signals tougher cybersecurity stance
Hong Kong’s Securities and Futures Commission (SFC) has reprimanded and fined Luk Fook Securities (HK) Limited (LFSHK) HKD2.1 million for failing...
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The end of offshore execution on secondary transactions
The end of offshore execution on secondary transactions
On 13 July 2026, the UK government published draft legislation that will introduce a new securities transfer tax in the UK (replacing stamp duty...
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Delaware Court Of Chancery Dismisses Stockholder Derivative Suit, Rejecting “Eleventh Hour” Section 220 Demand Tolling Theory
Delaware Court Of Chancery Dismisses Stockholder Derivative Suit, Rejecting “Eleventh Hour” Section 220 Demand Tolling Theory
On July 9, 2026, Vice Chancellor Lori W. Will of the Delaware Court of Chancery dismissed a stockholder derivative action against a...
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ARB Potentially Expands SOX Coverage for Private Companies and Broadly Interprets Protected Activity Standard
ARB Potentially Expands SOX Coverage for Private Companies and Broadly Interprets Protected Activity Standard
The U.S. Department of Labor Administrative Review Board (“ARB”) extended the potential reach of SOX whistleblower coverage to private companies...
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SEC Settles Charges Against Investment Adviser for Affiliate Transactions, Derivatives Compliance Failures and Shareholder Disclosure Violations
SEC Settles Charges Against Investment Adviser for Affiliate Transactions, Derivatives Compliance Failures and Shareholder Disclosure Violations
Who may be interested: Registered Investment Companies; Directors of Registered Investment Companies; Investment Advisers; Exchange Traded Funds...
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SEC Issues New Section 13(g) and (d) and Schedule 14A Interpretations Covering Cash-Settled Swaps and Activist SPVs
SEC Issues New Section 13(g) and (d) and Schedule 14A Interpretations Covering Cash-Settled Swaps and Activist SPVs
On July 9, 2026, the Division of Corporation Finance of the Securities and Exchange Commission (the “SEC”) published several new Corporation...
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SEC Proposes New Default Electronic Delivery Framework
SEC Proposes New Default Electronic Delivery Framework
On July 16, 2026, the Securities and Exchange Commission (the “SEC”) proposed Regulation E‑Delivery (the “Proposed Rule”), a new rule that would...
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SEC Staff Confirms the Use of Digital Attestations Through a Tokenized Security in Rule 506(c) Offerings
SEC Staff Confirms the Use of Digital Attestations Through a Tokenized Security in Rule 506(c) Offerings
Over the past six months, Seward & Kissel has been engaged in conversations with the staff of the Securities and Exchange Commission’s Division...
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Fourth Circuit Reverses Class Certification In Securities Class Action Against Aerospace Manufacturing Company
Fourth Circuit Reverses Class Certification In Securities Class Action Against Aerospace Manufacturing Company
On July 20, 2026, the United States Court of Appeals for the Fourth Circuit reversed and remanded a decision from the United States District...
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FUNDamental QuickStudy: SEC Proposes New E-Delivery Approach to Modernize Delivery of Regulatory Information
FUNDamental QuickStudy: SEC Proposes New E-Delivery Approach to Modernize Delivery of Regulatory Information
On July 16, 2026, the U.S. Securities and Exchange Commission (SEC) proposed Regulation E-Delivery, a new rule that would expand the ability of...
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Second Circuit Holds That “Blockers” In Derivatives Contracts Shield Liability For Short-Swing Profits Under Section 16(b)
Second Circuit Holds That “Blockers” In Derivatives Contracts Shield Liability For Short-Swing Profits Under Section 16(b)
On July 7, 2026, the United States Court of Appeals for the Second Circuit affirmed the dismissal of an action asserting claims under Section...
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SEC Releases Guidance on Data Center Securitizations
SEC Releases Guidance on Data Center Securitizations
Our Finance Group explains how a Securities and Exchange Commission (SEC) no-action letter gives data center securitizations (DCS) clearer...
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Bafin publishes supervisory statement on payment for order flow under MiFIR
Bafin publishes supervisory statement on payment for order flow under MiFIR
Since March 2024, Article 39a of the Markets in Financial Instruments Regulation (MiFIR) prohibits investment firms acting on behalf of retail...
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Proposed Reg E-Delivery: Impact on Employer Obligations for Equity Comp
Proposed Reg E-Delivery: Impact on Employer Obligations for Equity Comp
Here’s an excerpt from this Cooley Alert penned by Ali Murata, Michael Bergmann and Dillon Jones: “Federal securities laws impose delivery...
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