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
6/19/2025
/ Broker-Dealer ,
Cybersecurity ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Financial Services Industry ,
Investment Adviser ,
Investment Funds ,
Proposed Rules ,
Regulatory Agenda ,
Regulatory Reform ,
Regulatory Requirements ,
Risk Management ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Third-Party ,
Withdrawal
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
11/12/2024
/ Artificial Intelligence ,
Broker-Dealer ,
Capital Markets ,
Cryptocurrency ,
Enforcement Actions ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investors ,
Private Funds ,
Regulation Best Interest ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
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
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
6/5/2024
/ Broker-Dealer ,
Customer Information ,
Cybersecurity ,
Data Breach ,
Financial Institutions ,
Incident Response Plans ,
Investment Adviser ,
Personal Information ,
Recordkeeping Requirements ,
Registered Investment Companies (RICs) ,
Regulation S-P ,
Reporting Requirements ,
Securities and Exchange Commission (SEC)
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
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
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
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