REGULATORY UPDATES -
Recent SEC Leadership Changes -
The Securities and Exchange Commission (the “SEC”) announced that Megan Barbero, currently SEC Principal Deputy General Counsel, will be appointed General Counsel,...more
1/19/2023
/ 10b5-1 Plans ,
Broker-Dealer ,
Disclosure Requirements ,
Employee Retirement Income Security Act (ERISA) ,
Environmental Social & Governance (ESG) ,
ETFs ,
Final Rules ,
Insider Trading ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Proposed Rules ,
Proxy Voting ,
Regulation Best Interest ,
Securities and Exchange Commission (SEC) ,
Shareholders
REGULATORY UPDATES -
SEC -
Leadership Changes On April 14, 2021, the U.S. Senate voted to approve President Biden’s nomination of Gary Gensler as Chairman of the Securities and Exchange Commission (the “SEC”) through June...more
4/16/2021
/ CFTC ,
Department of Labor (DOL) ,
Employee Retirement Income Security Act (ERISA) ,
Environmental Social & Governance (ESG) ,
Fiduciary Duty ,
Fiduciary Rule ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
No-Action Relief ,
OCIE ,
Popular ,
Retail Investors ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC)
REGULATORY UPDATES -
SEC Proposes Conditional Exemption for Finders Assisting Small Businesses with Capital Raising -
On October 7, 2020, the Securities Exchange Commission (the “SEC”) proposed a conditional exemption...more
1/27/2021
/ Auditor Independence ,
Auditors ,
Broker-Dealer ,
CFTC ,
Derivatives ,
Dodd-Frank ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement Actions ,
Investment Adviser ,
Popular ,
Regulation S-X ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps