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Regulatory Agenda › Final Rules › Investment Adviser

Haynes Boone

FinCEN Announces Intention to Postpone Effective Date of Anti-Money Laundering Rule for Registered Investment Advisers and Exempt...

Haynes Boone on

FinCEN will work through the rulemaking process to formally extend the IA AML Rule effective date and intends to provide the IA sector with regulatory certainty by issuing appropriate exemptive relief delaying the effective...more

Eversheds Sutherland (US) LLP

SEC adopts amendments to Regulation NMS

Eversheds Sutherland (US) LLP on

Enhancing market efficiency, transparency, and investor protection - The US Securities and Exchange Commission (SEC) adopted amendments to Regulation National Market System (Regulation NMS or Reg NMS). Regulation NMS was...more

Troutman Pepper Locke

Treasury Department Releases Semiannual Regulatory Agenda

Troutman Pepper Locke on

On August 16, the U.S. Department of the Treasury published its semiannual regulatory agenda in the Federal Register, detailing the agency’s upcoming regulatory actions and priorities. The agenda outlines the proposed, final,...more

Mayer Brown Free Writings + Perspectives

SEC Abandons Review of Vacated Private Fund Adviser Rules

Mayer Brown Free Writings + Perspectives on

The Securities and Exchange Commission let pass the deadline to seek a review of the decision by the US Court of Appeals for the Fifth Circuit (the “Fifth Circuit”) to vacate the SEC’s final rule relating to private fund...more

Davis Wright Tremaine LLP

Banking and Consumer Regulatory Digest - October 2023

Davis Wright Tremaine LLP on

The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency, specifically focusing on:...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Adopts Final Private Fund Adviser Rules

Skadden, Arps, Slate, Meagher & Flom LLP on

On August 23, 2023, the Securities and Exchange Commission (SEC) voted 3-2 to adopt a final set of rules and amendments under the U.S. Investment Advisers Act of 1940 (collectively, the Final Rules) that significantly expand...more

DarrowEverett LLP

Meme Stock Mania Sets Stage for Proposed Game-Changing SEC Rule

DarrowEverett LLP on

On Wednesday, December 14, the U.S. Securities and Exchange Commission (the “SEC”) affirmatively voted to advance some major changes to U.S. stock-market rules, perhaps the biggest changes to such rules in nearly 20 years....more

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