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Investment Management › Rulemaking Process › Risk Management

Proskauer - Regulatory & Compliance

SEC Formally Withdraws Fourteen Rule Proposals

Proskauer - Regulatory & Compliance on

On June 12, 2025 the Securities and Exchange Commission (“SEC”) formally withdrew fourteen outstanding rule proposals issued by the prior administration. Although most observers doubted that the current Commission would adopt...more

Goodwin

Financial Services Weekly Roundup: Gone Phishing – The SEC’s OCIE Addresses Ransomware Attacks

Goodwin on

In This Issue. The Securities and Exchange Commission (SEC) adopted amendments to its exemptive applications procedures under the Investment Company Act of 1940, as amended (the 1940 Act) and proposed to amend Form 13F to...more

Troutman Pepper Locke

Investment Management Update - January 2020

Troutman Pepper Locke on

SEC Proposes to Update Accredited Investor Definition to Increase Access to Investments - On December 18, 2019, the Securities and Exchange Commission (SEC) proposed amendments to the definition of “accredited investor” in...more

Akin Gump Strauss Hauer & Feld LLP

Supplemental Proposal to Regulation AT: What Investment Managers Need to Know

Akin Gump Strauss Hauer & Feld LLP on

Key Points - - The supplemental proposed rulemaking to Regulation AT heightens the procedural mechanisms by which source code is made accessible to the CFTC. - The supplemental proposed rulemaking adds a...more

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