On June 25, 2025, the SEC’s Office of the Investor Advocate (OIAD) released its annual report to Congress on its policy priorities for fiscal year 2026. The office was established by Congress to focus on retail investor...more
6/27/2025
/ 401k ,
Department of Labor (DOL) ,
Investment Funds ,
Investors ,
Private Equity ,
Regulatory Agenda ,
Regulatory Reform ,
Retirement Plan ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
With Paul Atkins as the new SEC Chair, the agency’s priorities have shifted away from many of the aggressive policies of former Chair Gensler. The first four months of the Republican controlled SEC saw a dramatic shift in the...more
6/18/2025
/ Enforcement Actions ,
Enforcement Priorities ,
Fund Managers ,
Investment Advisers Act of 1940 ,
Investment Management ,
Private Funds ,
Regulatory Reform ,
Retail Investors ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
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 April 8, 2025, Acting SEC Chairman Mark T. Uyeda gave a speech signaling that the SEC may revisit the current minimum assets under management (“AUM”) threshold for federal registration, potentially reducing the number of...more
The Senate Banking Committee convened on Thursday to consider the nomination of Paul Atkins, President Trump’s nominee for Chair of the Securities and Exchange Commission, along with the nominees for the Comptroller of the...more
On January 29, 2025, the Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission (together, the “Agencies”) jointly announced that the compliance date for the new Form PF would be extended by three...more
1/31/2025
/ CFTC ,
Compliance ,
Financial Regulatory Reform ,
Form PF ,
Hedge Funds ,
Investment Adviser ,
New Amendments ,
Private Funds ,
Regulatory Requirements ,
Reporting Requirements ,
Rulemaking Process ,
Securities and Exchange Commission (SEC)