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SEC Compliance Consultants, Inc. (SEC³)

SEC Chair Paul Atkins Sets Pro-Innovation Tone in First Public Remarks

SEC Compliance Consultants, Inc. (SEC³) on

In his first public address as Chairman of the U.S. Securities and Exchange Commission, Paul Atkins laid out his regulatory vision during the SEC Speaks conference on May 19, 2025....more

Wilson Sonsini Goodrich & Rosati

Fintech in Brief: Win Some, Lose Some: Recent Developments in the Regulation of Private Funds

Wilson Sonsini Goodrich & Rosati on

Recently adopted rules applicable to private fund advisers will not come into effect after all. These changes, which were adopted by the U.S. Securities and Exchange Commission (SEC) under the Investment Advisers Act of 1940...more

Womble Bond Dickinson

SEC Marketing Rule: Fintech Enforcement Actions

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This alert highlights recent artificial intelligence (AI)-related enforcement actions that the Securities and Exchange Commission (SEC) has brought against investment advisers under the SEC's "Marketing Rule." The enforcement...more

Skadden, Arps, Slate, Meagher & Flom LLP

Investment Management Update - November 2023

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...SEC Adopts Amendments to Fund Names Rule - On September 20, 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments to Rule 35d-1 under the Investment Company Act of 1940 (the Fund Names Rule) as well...more

Latham & Watkins LLP

SEC Outlines 2024 Examination Priorities

Latham & Watkins LLP on

The priorities highlight emerging and core risk areas for investment advisers, broker-dealers, and other entities, including cybersecurity and crypto assets. On October 16, 2023, the Securities and Exchange Commission’s...more

Goodwin

SEC EXAMS Division Announces 2024 Priorities Ahead of Schedule

Goodwin on

On October 16, 2023, the SEC’s Division of Examinations (EXAMS) published its exam priorities for 2024. The timing is notable, with the release coming several months ahead of the typical timeline and only eight months after...more

Goodwin

SEC Proposes Changes to Private Fund Regulation

Goodwin on

In This Issue. The U.S. Securities and Exchange Commission (SEC) proposed changes to private fund regulation; the Office of the Comptroller of the Currency (OCC) succeeded in validating its “valid-when-made” rulemaking; the...more

Bressler, Amery & Ross, P.C.

ESG Task Force, Emerging Risk Team, Exam Priorities for 2021 and Other Highlights from the SEC

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It is clear that environmental, social, and governance (“ESG”) issues will be an “enhanced focus” for the SEC in 2021. See, the regulator’s recent announcement of an ESG task force and the Division of Examinations priorities...more

Foley Hoag LLP

SEC Office of Compliance Inspections and Examinations Issues 2020 Examination Priorities

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On January 7, 2020, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued its annual examination priorities for the coming year (2020 Priorities). The 2020 Priorities are important for regulated entities,...more

Goodwin

Financial Services Weekly News - October 2016

Goodwin on

Editor's Note - Regulation and Innovation, Part IV. In the April 6, June 22 and September 14 editions of the Roundup, we discussed the approaches of various banking regulators generally, and the Office of the...more

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