After decades of trying to make the shift, Regulation E-Delivery aims to end the opt-in requirement for receiving electronic investor information.
SEC Rule 17a-1
Requires securities exchanges and other listed organizations to keep and preserve at least one copy of all documents made or received by in the course of business as such as well as in connection with the conduct of its self-regulatory activity.
Overview
Latest News
While not new rules, these observations remind us that SEC examinations prioritize whether actual practices match a firm's disclosures, policies, and fiduciary duties, rather than its original intentions.
Reed Smith attorneys Julia Ensor and Rebecca Fike drew on their experience at the FTC and SEC respectively to weigh in on the implications of the Supreme Court's ruling.
Our in-brief roundup of notable stories from the last week.
Practical guidance for UK firms navigating US SEC authorization and FINRA compliance, including best practices and tips.
With this 2026 rulemaking agenda, the SEC teases its ideas around modifying some of its bedrock rules, particularly to accommodate the digital asset sector.
SEC
Premium
Atkins links SEC agenda to US founding principles as nation celebrates 250th anniversary
SEC Chair Paul Atkins framed the Commission’s regulatory direction as a return to the principles of individual liberty and free enterprise.
The changes would allow more retakes within a shorter span of time.