News
SEC proposes materiality-based executive pay disclosures
The SEC proposed amendments to executive and director compensation disclosures, reducing named executives to two and raising the perquisite threshold to $150,000.
Tag
Paul S. Atkins
Analysis
SEC lifts “small entity” thresholds for funds and advisers
The SEC has raised asset thresholds for "small entities" among investment companies and advisers, increasing the adviser threshold to $1 billion and the fund threshold to $10 billion.
News
SEC proposes broader cross-trading for registered funds
The SEC proposed amendments to Rule 17a-7, expanding eligible securities for cross-trading by registered funds, including fixed-income and level 2 securities, with new reporting requirements.
Analysis
SEC proposes crypto custody rules with self-custody path
The SEC has proposed new crypto custody rules allowing self-custody and state trust companies for advisers and funds, with a 60-day public comment window.
Markets
SEC opens five-year window for tokenized stock venues
The SEC has issued a five-year Innovation Exemption allowing Tokenized Securities Venues to trade tokenized NMS stocks under specific conditions until September 17, 2031.
Analysis
SEC targets shareholder proposal rule, shifting fight toward states
The SEC proposed rescinding Rule 14a-8, removing the federal path for shareholder proposals and giving companies more discretion over proxy voting, while cutting a broker-search window by 75%.
Analysis
SEC proposes scrapping adviser pay-to-play rule
The SEC has proposed rescinding Rule 206(4)-5, which currently bars investment advisers from receiving compensation for two years if they make political contributions above a de minimis threshold.
