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Rulemaking Process Investment Management Financial Markets

Carlton Fields

One Fell Swoop: SEC Erases Ambitious Gensler-Era Rulemaking Agenda

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On June 12, 2025, the Securities and Exchange Commission issued a release announcing that it was withdrawing 14 notices of proposed rulemaking issued between March 2022 and November 2023 and stating that it “does not intend...more

Ropes & Gray LLP

2025 ICI Investment Management Conference

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The 2025 ICI Investment Management Conference was noteworthy for the change in tone from the SEC officials in attendance, including Acting Chairman Mark Uyeda, as well as IM Director Natasha Greiner, who suggested that there...more

White & Case LLP

SEC Enforcement Year-End Overview

White & Case LLP on

2024 marks the final year of Gary Gensler's term as Chair of the U.S. Securities and Exchange Commission ("SEC"). The Gensler SEC has been aggressive on both the enforcement and rulemaking fronts. In response, the financial...more

Stikeman Elliott LLP

CIRO Embarks on Phase 3 of its Rule Consolidation Project and Proposes Integrated Fee Model

Stikeman Elliott LLP on

The Canadian Investment Regulatory Organization (“CIRO”) recently published for comment proposals relating to Phase 3 of its rule consolidation project (the “Rule Consolidation Project”) as well as a new integrated fee model...more

Stikeman Elliott LLP

CIRO Moves Forward with Phase 2 of its Rule Consolidation Project

Stikeman Elliott LLP on

The Canadian Investment Regulatory Organization (“CIRO”) recently published for comment proposals relating to Phase 2 of its rule consolidation project (the “Rule Consolidation Project”), which is designed to bring together...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

Troutman Pepper Locke

Investment Management Update - July 2019

Troutman Pepper Locke on

Covering legal developments and regulatory news for registered funds, their advisers and industry participants through June 30, 2019. Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships - On...more

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