Recent SEC Administration Changes -
SEC Names Brian Daly as Director of the Division of Investment Management -
On June 10, 2025, the Securities and Exchange Commission (the “SEC”) announced that Natasha Vij Greiner,...more
REGULATORY UPDATES -
Recent SEC Leadership Changes -
On January 10, 2023, the Securities and Exchange Commission (the “SEC”) announced the appointment of Cristina Martin Firvida as director of the Office of the Investor...more
4/17/2023
/ AARP ,
Cybersecurity ,
Dodd-Frank ,
Enforcement Actions ,
IFRS ,
Investors ,
Popular ,
Proposed Rules ,
Registered Investment Advisors ,
Regulation S-P ,
Retail Investors ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Self-Regulatory Organizations ,
Special Purpose Acquisition Companies (SPACs)
REGULATORY UPDATES -
SEC Announces Leadership Changes -
Anthony (“Tony”) C. Thompson was appointed to a second term as a board member of the Public Company Accounting Oversight Board (“PCAOB”), which will run until...more
10/18/2022
/ Board of Directors ,
Diversity ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Investors ,
PCAOB ,
Proposed Amendments ,
Proxy Voting ,
Rule 14a-8 ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals
REGULATORY UPDATES -
William Birdthistle Named Director of Division of Investment Management -
On December 21, 2021, the Securities and Exchange Commission (“SEC”) announced the appointment of William A. Birdthistle as...more
1/19/2022
/ Electronic Filing ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
ETFs ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Company Act of 1940 ,
PCAOB ,
Popular ,
Proxy Voting ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC)
REGULATORY UPDATES -
SEC Leadership Changes -
On April 17, 2021, Gary Gensler was sworn into office as the Chair of the Securities and Exchange Commission (the “SEC”). Gensler served as chair of the U.S. Commodity Futures...more
7/16/2021
/ Broker-Dealer ,
Corporate Governance ,
Diversity ,
Dodd-Frank ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Company Act of 1940 ,
Popular ,
Proxy Voting ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals ,
Swap Data Repositories ,
Universal Proxy Cards
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