Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
7/11/2025
/ Broker-Dealer ,
Cryptoassets ,
Cryptocurrency ,
Decentralized Finance (DeFi) ,
Digital Assets ,
Disclosure Requirements ,
FinTech ,
Investment Adviser ,
Proposed Regulation ,
Proposed Rules ,
Regulatory Agenda ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Technology Sector
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
6/10/2025
/ Broker-Dealer ,
Cryptoassets ,
Cryptocurrency ,
Digital Assets ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
New Guidance ,
Proposed Rules ,
Regulation S-P ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Technology
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
4/9/2025
/ Broker-Dealer ,
Comment Period ,
Cryptocurrency ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Investment Management ,
Proposed Rules ,
Regulatory Reform ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
8/9/2024
/ Administrative Law Judge (ALJ) ,
AML/CFT ,
Chevron Deference ,
Cybersecurity ,
Department of Labor (DOL) ,
Fiduciary Rule ,
Financial Institutions ,
FinCEN ,
Inspections ,
Jury Trial ,
Pilot Programs ,
Prohibited Transactions ,
Proposed Amendments ,
Proposed Rules ,
PTE 84-24 ,
PTEs ,
Regulatory Agenda ,
Regulatory Reform ,
Rule 2210 ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Seventh Amendment ,
Statutory Authority ,
Statutory Interpretation
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
5/9/2024
/ Artificial Intelligence ,
Books & Records ,
Broker-Dealer ,
Department of Labor (DOL) ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement Actions ,
FinCEN ,
Investment Adviser ,
Investors ,
Policies and Procedures ,
Prohibited Transactions ,
Proposed Rules ,
PTEs ,
Recordkeeping Requirements ,
Regulatory Agenda ,
Retirement Plan ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Technology
The US Securities and Exchange Commission (SEC) is holding an open meeting this Wednesday, August 23, to consider whether to adopt proposed rules under the Investment Advisers Act of 1940 that, if adopted as proposed, would...more
8/22/2023
/ Audits ,
Compliance ,
Disclosure Requirements ,
Fees ,
Financial Statements ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Policies and Procedures ,
Private Funds ,
Proposed Amendments ,
Proposed Rules ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC)
On February 15, 2022 the US Securities and Exchange Commission (SEC) proposed sweeping changes to Rule 206(4)-2 (the Custody Rule) under the Investment Advisers Act of 1940 (Advisers Act), which would be redesignated as Rule...more