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
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)