United States: Securities

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Business law and corporate law thought leadership, articles, podcasts, videos and webinars from expert sources across the legal world. Explore insights covering topics that involve business and corporate law produced by specialists working in this area every day.

Risk #9: What The New SEC’s First Year Signals For The Future Of Private Fund Oversight

The SEC's enforcement approach under Chair Paul Atkins has undergone a strategic recalibration, moving away from technical violations toward fraud-based cases with demonstrable investor harm.

United States Finance

PR

Proskauer Rose LLP

Banking Industry Outlook: U.S. Banking M&A Builds Momentum Into 2026

The U.S. Bank acquisition continued where 2025 left off with 33 transactions announced in Q1 totaling $15.7 billion in total deal value.

United States Finance

AC

Ankura Consulting Group LLC

SEC And CFTC Propose Rollback Of Form PF Requirements

The Securities and Exchange Commission and Commodity Futures Trading Commission have jointly proposed significant amendments to Form PF that would substantially reduce reporting burdens for private fund advisers.

United States Finance

PR

Proskauer Rose LLP

From Enforcement To Empowerment: SEC’s Inaugural Podcast Signals Continued Course Correction On Crypto

The SEC's inaugural podcast episode reveals a fundamental shift in digital asset regulation, as Commissioner Peirce outlines Project Crypto's vision for principles-based rules that embrace blockchain innovation while maintaining investor protection.

United States Technology

KM

Katten Muchin Rosenman LLP

2026 Venture Capital Report

United States Commercial

W

WilmerHale

Treasury Proposes Framework For State Stablecoin Laws—Should You Issue Under A State Regime?

United States Technology

KG

K&L Gates LLP

SEC Staff Extends Existing Section 16(a) Reporting Relief To Companies Impacted By Conflict In The Middle East

United States Commercial

MB

Mayer Brown

Giving Away The Farm With SAFEs: Understanding The Alternatives And Avoiding Unnecessary Dilution

United States Finance

W

WilmerHale

Raising Capital: Private Placements

United States Commercial

CG

Cohen & Gresser

SEC Watch: Monthly Takeaways For Asset Managers - April 2026

United States Commercial

ST

Simpson Thacher & Bartlett

Bracewell Explains: How The SEC’s New Wells Process Strengthens Transparency And Advocacy (Video)

United States Commercial

B

Bracewell

Chairman Selig Goes To Capitol Hill: Key Takeaways On Prediction Markets, Crypto And Enforcement

United States Technology

KM

Katten Muchin Rosenman LLP

SEC Provides No-Action Position On Crypto Trading Interfaces

United States Technology

PR

Proskauer Rose LLP

Navigating Interval Fund Governance: Key Considerations For Fund Directors

United States Finance

D

Dechert

Colorado "Opt-Out" Litigation – Petition For Rehearing En Banc And Amicus Briefs In Support

United States Finance

BS

Ballard Spahr LLP

Virtual And Digital Health Digest

Worldwide Healthcare

AP

Arnold & Porter

Littler Lounge: Just Cause For A Chat About Corrective Actions (Podcast)

United States Employment

LM

Littler Mendelson

Signed, Sealed, But Not Delivered? Don't Wonder About Taxes Under New Postal Service Rules

United States Tax

N

Nossaman LLP

Federal Circuit: Priority Document That 'Broadly Outlines' Possible Structures Fails To Provide Adequate Written Description Support For Subgenus Of Linkers In Antibody-Drug Conjugate

United States IP

AG

Akin Gump Strauss Hauer & Feld LLP

SEC Approves Nasdaq Proposal To Expand Trading Hours

On April 10, 2026, and consistent with its previous approval of similar proposals by other national exchanges (24X and NYSE Arca), the SEC approved the Nasdaq Stock Market (Nasdaq) proposal to extend its trading...

United States Commercial

AP

Arnold & Porter

Global cryptocurrency regulation is undergoing rapid transformation as the SEC exempts certain crypto interfaces from broker-dealer registration, the U.S. Senate prepares to vote on landmark digital asset legislation, and major financial centers from Pakistan to Hong Kong establish new licensing frameworks for stablecoin issuers and virtual asset service providers.

United States Technology

LS

Lowenstein Sandler

SEC Announces Enforcement Results For 2025

Welcome to Goodwin’s Public Company Advisory Practice News Roundup, which highlights the latest developments in SEC and stock exchange regulatory activity, corporate governance and other topics relevant to public company counseling and compliance.

United States Commercial

GP

Goodwin Procter LLP

Announcement Of Enforcement Results And Appointment Of New Enforcement Director Provide Roadmap For What’s Next For The SEC

This week, the SEC took two steps that could define what’s next for its enforcement program: it named David Woodcock — a former Regional Director at the SEC and a current Gibson Dunn partner — as the new Director of the Division of Enforcement, and released the Division’s fiscal year 2025 results.

United States Commercial

JB

Jenner & Block

Fewer Actions, Sharper Focus: SEC Enforcement Declines In Fiscal Year 2025 As Priorities Shift

United States Technology

KM

Katten Muchin Rosenman LLP

SEC Fraud And Violations: Whistleblower Enforcement And Legal Protections

United States Employment

FL

Friling Law

The Reverse Merger, Part 2: Updates On The NYSE American Listing Practice For Business Combinations Between Struggling Microcap Operating Listed Public Companies And Private Companies Seeking To Become Public

United States Commercial

B

Bevilacqua

Public Or Private? A Guide For Growing Companies

United States Commercial

CG

Cohen & Gresser

SEC Staff Clarifies Broker-Dealer Registration Expectations For Non-Custodial Crypto Wallet Providers

United States Technology

GT

Greenberg Traurig, LLP

Looking Back, Looking Ahead: SEC FY 2025 Results And New Enforcement Director Named

United States Technology

HK

Holland & Knight

Tokenized Securities: Untangling Legal And Regulatory Knots

United States Technology

SA

Skadden Arps Slate Meagher & Flom

SEC Staff Issues Broker-Dealer Registration Guidance For Certain User Interfaces

United States Technology

W

WilmerHale

Carl Kennedy Breaks Down The Future Of Event Contracts On Prediction News Podcast

United States Finance

KM

Katten Muchin Rosenman LLP

SEC Outlines Time-Limited Path Forward For Crypto User Interface Providers On Broker-Dealer Registration

United States Technology

KM

Katten Muchin Rosenman LLP

Tokenized Securities: Untangling Legal And Regulatory Knots

Tokenization offers genuine benefits for securities markets, including near-costless payment distribution, round-the-clock trading, instantaneous settlement, transparent ownership records, fractionalization...

United States Technology

SA

Skadden Arps Slate Meagher & Flom

SEC Staff Issues Broker-Dealer Registration Guidance For Certain User Interfaces

The SEC staff has issued guidance clarifying when providers of user interfaces for self-custodial crypto asset securities transactions may operate without broker-dealer registration. The statement establishes specific requirements and prohibited activities for "Covered User Interfaces" that enable users to interact with blockchain protocols through self-custodial wallets, while leaving several practical questions unanswered about custody structures, AML/KYC obligations, and DeFi integrations.

United States Technology

W

WilmerHale

Carl Kennedy Breaks Down The Future Of Event Contracts On Prediction News Podcast

The Third Circuit's landmark ruling in favor of Kalshi has reshaped the regulatory landscape for event contracts and prediction markets. As federal courts weigh in on whether these instruments are derivatives or gaming products, the CFTC faces mounting pressure to clarify its oversight framework while addressing concerns about insider trading and market manipulation.

United States Finance

KM

Katten Muchin Rosenman LLP

SEC Outlines Time-Limited Path Forward For Crypto User Interface Providers On Broker-Dealer Registration

The SEC's Division of Trading and Markets has released a staff statement outlining conditions under which crypto asset securities user interface providers may operate without broker-dealer registration, creating a temporary five-year framework while broader regulatory issues are considered.

United States Technology

KM

Katten Muchin Rosenman LLP

New York Federal Court Holds Run-Off Policy’s Subsequent Acts Exclusion Inapplicable Because Conduct Alleged After Cut-Off Date Was Lawful And Not A “Wrongful Act”

United States Insurance

D

Dykema

Lundin Mining v. Markowich: How The Supreme Court Is Shaping Disclosure Practices

In Lundin Mining Corp. v. Markowich, 2025 SCC 39, the Supreme Court of Canada clarified how issuers must identify and meet their disclosure obligations regarding “material changes”...

United States Commercial

DW

Dickinson Wright PLLC

S6:E8 | Amendments To The SEC Enforcement Manual | Compliance In Context (Podcast)

Welcome back to the Compliance In Context podcast! On today’s show, we will be diving into the SEC Enforcement Manual, and more specifically...

United States Commercial

CH

Calfee Halter & Griswold

Key Reminders For Spring Annual Meetings

With the arrival of opening day, the minds of in-house legal counsel inevitably turn towards annual meetings. Reminders for upcoming meetings include...

United States Commercial

BC

Bryan Cave Leighton Paisner

Fifth Circuit Securities Litigation Quarterly: First Quarter 2026

In our Q1 edition, we cover one new class action filing, one new class action settlement, five decisions on pleading stage and class certification issues, and other decisions of note.

United States Commercial

AO

A&O Shearman

Did You Predict This? Why Prediction Markets May Be Your Next Compliance Headache

United States Commercial

KG

K&L Gates LLP

Recalibrating The Disclosure Decision

United States International

SJ

Steptoe LLP

From Hourly To Strategic: How Fixed Fees Are Reshaping Public Company Counsel

United States Commercial

DM

Duane Morris LLP

SEC Hits Pause On Cboe's New Disruptive Trading Rule

United States International

KM

Katten Muchin Rosenman LLP

From Enforcement To Framework: Treasury Advances Stablecoins Under GENIUS Act

United States Finance

B

Bracewell

SEC Speaks – Are You Listening?

United States Technology

HK

Holland & Knight

The Last Leg: SEC Extends Trading Relief To Share Class ETFs

United States Commercial

KG

K&L Gates LLP

New SEC Guidance Allows Issuers To "Lock In" At The Market Offering Prospectus Supplements Filed Under General Instruction I.B.1

United States Commercial

DM

Duane Morris LLP

FINRA’s Latest Amendments To The Capital Acquisition Broker Rules

United States Commercial

RM

Rich May

SEC And CFTC Guidance Delivers Long-Awaited Crypto Clarity

United States Technology

SM

Sheppard, Mullin, Richter & Hampton LLP

Disclosure Custom And Practice Analysis In Securities Class Actions

United States Commercial

N

NERA

SEC–CFTC 2026 Harmonization MOU

United States Technology

FL

Foley & Lardner

SEC Speaks 2026: SEC Leadership Signals A Lighter Regulatory Touch, But Offers Few Enforcement Details

United States Commercial

FL

Foley & Lardner

Key Insights From The Division Of Enforcement’s Panel At The SEC Speaks 2026 Conference

United States Commercial

FL

Foley & Lardner

FinCEN Update: Huge Penalty On Broker-Dealer For Willful AML, SAR, And Due Diligence Failures

United States Government

BB

Bass, Berry & Sims

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Latest Videos

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Securities Enforcement And Regulatory Developments From The SEC, CFTC, And PCAOB (Podcast)

FH

Foley Hoag LLP

2026 Web3 Law Primer: Securities, IP, Privacy, And Data Protection (Video)

G

Gamma Law

S6:E3 | The Impact Of Mentorship In Compliance | Compliance In Context (Podcast)

CH

Calfee Halter & Griswold

The Class Action Weekly Wire – Episode 104: Key Developments In Securities Fraud Class Actions (Video)

DM

Duane Morris LLP

Securities Docket Weekly Update - April 11 (Video)

AP

Anderson P.C.

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