On June 12, 2025 the Securities and Exchange Commission (“SEC”) formally withdrew fourteen outstanding rule proposals issued by the prior administration. Although most observers doubted that the current Commission would adopt...more
6/17/2025
/ Broker-Dealer ,
Conflicts of Interest ,
Cybersecurity ,
Digital Assets ,
Environmental Social & Governance (ESG) ,
Financial Regulatory Reform ,
Investment Adviser ,
Investment Management ,
Popular ,
Proposed Rules ,
Regulatory Reform ,
Risk Management ,
Rulemaking Process ,
Securities and Exchange Commission (SEC)
On October 16, 2023, the Division of Examinations (the "Division") of the U.S. Securities and Exchange Commission ("SEC") released its 2024 Examination Priorities ("Annual Priorities").[1] Unlike in previous years when the...more
10/25/2023
/ Anti-Money Laundering ,
Bank Secrecy Act ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Fees ,
Investment Company Act of 1940 ,
Mutual Funds ,
Registered Funds ,
Risk Management ,
SCOTUS ,
Securities and Exchange Commission (SEC)
On September 20, 2023, the Securities and Exchange Commission (the “SEC”) voted to adopt final amendments to modernize Rule 35d-1 of the Investment Company Act of 1940, as amended (the “1940 Act”). This rule, commonly...more
10/4/2023
/ Compliance ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Investment Company Act of 1940 ,
Investment Management ,
New Amendments ,
Notice Requirements ,
Recordkeeping Requirements ,
Registered Funds ,
Registered Investment Companies (RICs) ,
Reporting Requirements ,
Securities and Exchange Commission (SEC)