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Securities Regulation

Legal news related to Securities Regulation

6 articles

Federal Circuit
•4 min read
Third Circuit Court of Appeals

3rd Circuit: SEC Best Price Rule Silent on Private Transfer Restrictions

The Third Circuit Court of Appeals affirmed dismissal of a lawsuit by former SPAC sponsors who claimed Nuvei Corporation violated SEC rules when rejecting their tendered shares. The court ruled the SEC's Best Price Rule does not prevent companies from enforcing private contractual restrictions during tender offers.

•Third Circuit affirmed dismissal of securities lawsuit against Nuvei Corporation over rejected share tenders
•Court ruled SEC Best Price Rule is silent on enforcing private share transfer restrictions during tender offers
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Regulatory
•4 min read

SEC Advisory Committee to Address Small Business Capital Rules Feb. 24

The SEC's Small Business Capital Formation Advisory Committee will hold a public meeting on February 24, 2026, to continue discussions on regulatory frameworks for finders and explore private secondary market issues. The meeting represents ongoing efforts to address capital formation challenges facing small businesses.

•SEC Small Business Capital Formation Advisory Committee meeting scheduled for February 24, 2026 at 10 a.m. ET
•Focus on regulatory frameworks for finders and exploration of private secondary markets
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Regulatory
•4 min read

SEC Hosts Final Regulation S-P Compliance Event for Small Firms

The Securities and Exchange Commission announced its third and final outreach event to help small investment firms comply with recent amendments to Regulation S-P, the federal privacy rule governing financial institutions. The hybrid event offers both in-person and virtual attendance options.

•SEC concludes its three-part outreach series with an event specifically targeting small investment firms
•The hybrid format accommodates both in-person and virtual attendance to improve accessibility
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Regulatory
•4 min read

SEC Division of Examinations Releases 2026 Examination Priorities

The Securities and Exchange Commission's Division of Examinations has released its 2026 examination priorities, providing regulatory transparency to investment advisers, broker-dealers, and other market participants about key focus areas for the upcoming examination cycle.

•SEC Division of Examinations published its annual 2026 examination priorities
•The priorities provide transparency to registrants and investors about regulatory focus areas
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Regulatory
•4 min read

SEC Grants Temporary Relief from New Market Structure Rules

The Securities and Exchange Commission issued an exemptive order providing temporary relief from compliance deadlines for new rules under Regulation NMS. The order affects regulations governing minimum pricing increments, access fees, and transparency requirements for better-priced orders in U.S. securities markets.

•SEC granted temporary exemptive relief from compliance dates for Regulation NMS rules
•Relief covers minimum pricing increments, access fees, and transparency of better-priced orders
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Regulatory
•4 min read

SEC Grants Cost Relief for Consolidated Audit Trail Operations

The Securities and Exchange Commission issued an order granting conditional exemptive relief to reduce operating costs associated with the Consolidated Audit Trail. The order addresses certain requirements under the CAT National Market System Plan and Rule 613 of Regulation NMS.

•SEC granted conditional exemptive relief for CAT operating cost requirements
•Order affects National Market System Plan governing Consolidated Audit Trail
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