The United States Securities and Exchange Commission (SEC) has issued an interpretive release on how federal securities laws apply to crypto assets and related transactions. The Commodity Futures Trading Commission (CFTC) indicated it will administer the Commodity Exchange Act consistent with the SEC’s interpretation.
We summarize the SEC’s framework and
Continue Reading SEC and CFTC issue interpretive release on crypto
On March 6, 2026, the United States Securities and Exchange Commission (SEC) issued several new and revised Compliance and Disclosure Interpretations (C&DIs). Most of the C&DIs provide clarification on the requirements for exemptions from registration for offers and sales of securities pursuant to certain compensatory benefit plans under Rule 701
Continue Reading SEC issues new and revised guidance related to Rule 701
The US Securities and Exchange Commission (SEC) released a joint statement on January 28, 2026 clarifying the application of federal securities laws to tokenized securities. This statement, published through the SEC’s Division of Corporation Finance, Division of Investment Management, and Division of Trading and Markets, addresses both issuer-sponsored and third
Continue Reading SEC issues guidance on tokenized securities and related developments
On November 17, 2025, the United States Securities and Exchange Commission (SEC)’s Division of Corporation Finance announced that it would significantly curtail its review of no-action submission requests for the upcoming proxy season (October 1, 2025 –September 30, 2026).
According to its statement, the SEC staff will not respond
Continue Reading SEC Division of Corporation Finance announces significant change to shareholder proposal no-action process for upcoming proxy season
After the government reopened on November 13, 2025, the United States Securities and Exchange Commission (SEC) issued a statement including questions and answers (Q&A) related to filings made during or after the federal government shutdown. The SEC noted that more than 900 registration statements were filed during the shutdown.
In
Continue Reading SEC publishes filing guidance following end of government shutdown
The staff of the Division of Corporation Finance (Corp Fin) of the Securities and Exchange Commission (SEC) has issued new Compliance and Disclosure Interpretations (C&DIs) relating to the clawback disclosures required in an issuer’s annual report on Form 10-K and proxy statement. In addition to the April 11, 2025 issuance
Continue Reading Corp Fin releases new guidance on clawback disclosure requirements
