Our Privacy, Cyber & Data Strategy and Investment Management, Trading & Markets Teams review the Securities and Exchange Commission’s potentially transformative proposed rules that would require registered investment...more
NFA Adds Virtual Currency and Micro Contract Questions to Annual Questionnaire On December 6, 2021, the National Futures Association (NFA) released Notice I-21-42 to notify NFA members that new questions had been added to the...more
12/24/2021
/ Business Development Companies ,
Capital Markets ,
Decentralized Finance (DeFi) ,
Enforcement Actions ,
Internet Memes ,
Investment Management ,
NFA ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Transactions ,
Virtual Currency
Investment advisers and broker-dealers can expect more scrutiny of their data security from the Securities and Exchange Commission. Our Cybersecurity Preparedness & Response and Investment Management, Trading & Markets teams...more