June 11, 20268:30 a.m. – 9:30 a.m. ETMayer Brown LLP 14th Floor, 1221 Avenue of the Americas, New York, NY 10020Register here.
Updated Agenda
Join us for this in-person CLE on June 11, 2026.
We will discuss the following, among other issues:
In May 2026, FINRA’s Corporate Financing Department launched a new Private Placement Information page that makes selected information from private placement filings publicly available. The data is derived from Rule 5122 and Rule 5123 filings and will be updated periodically. Historically, information collected through FINRA’s private placement filing program was treated as confidential and used
This Legal Update summarises the joint Call for Input published by the Financial Conduct Authority (“FCA”) and the Bank of England (“BoE”) (together, the “regulators”) in May 2026. The paper invites industry responses by 3 July 2026.
What is the Purpose of this Consultation?
The goal of the Call for Input is to seek industry
On May 20, 2026, the Investor Advisory Committee (“IAC”) of the Securities and Exchange Commission (the “Commission”) released a draft recommendation (the “Recommendation”) addressing the Commission’s proposed rule that would replace quarterly periodic reporting required under Sections 13 and 15(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) with an option
FINRA is conducting a targeted review of member firm practices related to the supervision of non-principal protected “worst-of” structured notes over a look-back period of 2022 through the end of 2025. FINRA’s focus is on Regulation Best Interest, including the Care Obligation, and how member firms supervise customer concentrations in “worst-of” structured notes. FINRA is
Book Talk | Register here.June 9, 2026 | 6:00 p.m. – 8:00 p.m. ETThe Whitby Hotel, 18 W 56th, New York
The Fine Print series continues with Lloyd Blankfein joining Puck’s Wall Street author William D. Cohan to discuss Blankfein’s insightful and inspiring memoir, Streetwise: Getting to and Through Goldman Sachs.
We
Given the continued and growing interest in special purpose vehicles (“SPVs”) as a means of accessing private market investments, we are publishing a series of posts that examine different aspects of these structures. This is our second post in the series exploring how a single-investment SPV can be structured to obtain the economic exposure investors
As noted in our earlier post, the Securities and Exchange Commission (“SEC”) released two rulemaking proposals aimed at overhauling how public companies access the capital markets and address their ongoing reporting obligations.
The second rulemaking proposal, “Enhancement of Emerging Growth Company Accommodations and Simplification of Filer Status for Reporting Companies,” would simplify the filer
Today, the Securities and Exchange Commission (“SEC”) proposed two sets of rule amendments aimed at overhauling how public companies access the capital markets and meet their ongoing reporting obligations. The first rulemaking proposal, “Registered Offering Reform,” seeks to modernize the registered offering framework by, among other things, broadening eligibility for streamlined registration forms and extending
On May 1, 2026, the Private Investor Coalition, Inc. (“PIC”) submitted a rulemaking petition to the Securities and Exchange Commission (the “SEC”) requesting amendments to the definitions of “qualified purchaser” (as defined in Section 2(a)(51) of the Investment Company Act of 1940 (the “Investment Company Act”)) and “qualified institutional buyer” (“QIB”) (as defined in Rule