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SEC Withdraws 14 Pending Rule Proposals

On June 12, the Securities and Exchange Commission (SEC) formally withdrew 14 proposed rules for investment advisers, broker-dealers and public companies, many of which had been pending for several years. Should the SEC...more

SEC Examination Priorities Signal Capital Markets Enforcement

The Securities and Exchange Commission’s Division of Examinations recently released its 2025 priorities. These identify several new or emerging areas of focus that could be precursors to enforcement actions, such as the use...more

SEC Division of Examinations: 2025 Examination Priorities

Last week, the Securities and Exchange Commission’s Division of Examinations (the “Division”) released its 2025 examination priorities, an annual publication by the Division designed to make the public aware of issues, areas,...more

SEC Adopts Amendments To Regulation S-P

On May 15, 2024, the Securities and Exchange Commission (the “SEC”) adopted amendments to Regulation S-P. Originally passed in 2000, Regulation S-P regulates the treatment of non-public personal information of consumers by...more

FinCEN Proposes AML and SAR Filing Obligations for RIAs and ERAs

On February 13, 2024, the United States Treasury’s Financial Crimes Enforcement Network (“FinCEN”) issued a proposed rule that would apply comprehensive anti-money laundering and countering the financing of terrorism...more

Investment Funds & Private Capital Market Insights: SEC Announces 2024 Examination Priorities

The SEC’s Division of Examinations (“DOE”) recently released its 2024 examination priorities (available here). The SEC provides examination priorities on an annual basis to convey to registrants specific areas that DOE will...more

SEC Rulemaking: Proposed Rule on Use of Predictive Analytics, AI and Other Technologies

On July 26, 2023, the SEC proposed new rules applicable to registered investment advisers and broker-dealers (available here) intended to address certain conflicts of interest relating to the use of predictive analytics,...more

SEC Adopts Updates to Private Fund Reporting on Form PF

On May 3, 2023, the SEC approved amendments to Form PF reporting requirements for private fund managers. Most significantly, the updates introduce new event reporting obligations for SEC-registered private fund advisers,...more

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