Videocast: Asset management regulation in 2020 videocast series – The ADV season
Videocast: Asset management regulation in 2020 videocast series – SEC’s OCIE exam priorities
Podcast: Keeping Up with Recent Changes and Trends in Private Fund Regulation
Life Sciences Quarterly: A View From Washington: What to Expect From the SEC
The U.S. Securities and Exchange Commission (SEC) has reportedly announced internally a major reorganization of its enforcement and exams divisions. This restructuring, effective April 9, 2025, was detailed in a staff memo...more
Just how crypto-friendly will the new administration be? Apparently, plenty. Today, SEC Acting Chairman Mark T. Uyeda announced the launch of a task force dedicated to developing a comprehensive and clear regulatory framework...more
On February 7, 2023, the Securities and Exchange Commission’s (the “SEC”) Division of Examinations (the “Division”) published its examination priorities for the upcoming year. The published priorities reflect the Division’s...more
The SEC announced on May 3, 2022 that 20 additional positions will be allocated to the Crypto Assets and Cyber Unit within the Division of Enforcement. This increase in resources will nearly double the size of the unit (now...more
Privacy and cybersecurity issues continue to garner significant attention in the U.S. and abroad. Private investment funds registered with the SEC and their portfolio companies will likely see increased regulatory scrutiny...more
Key Takeaways: ..After years of warning firms of the need for enhanced diligence in retaining or hiring brokers with a significant history of misconduct, FINRA has adopted new rules to address such brokers. ..As set...more
On January 22, 2019 FINRA, the self-regulatory organization for U.S. broker-dealers, released its “Risk Monitoring and Examination Priorities Letter” for 2019. A number of of FINRA’s hot topics for 2019 should be of interest...more
On January 22, 2019, FINRA published its 2019 Risk Monitoring and Examination Priorities Letter. Released several weeks later than usual, FINRA’s letter follows the December 10, 2018 publication of the 2019 Examination...more
The protection of senior investors continues to be a priority for FINRA, from both an examination and enforcement perspective. In fact, FINRA detailed how seniors are one of its major areas of concern in the last three...more
Both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) recently released their respective 2018 examination priorities, providing a glimpse into their plans for the year to...more
The Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) recently announced its 2018 national examination priorities, which are broken down into five categories...more
EXPECTFOCUS is a quarterly review of developments in the insurance and financial services industry, provided on a complimentary basis to clients and friends of Carlton Fields Jorden Burt, P.A. ...more
The SEC’s Office of Compliance Inspections and Examinations (OCIE) has established a dedicated team charged specifically with inspecting FINRA and other FINRA-related work. This follows through on the SEC’s...more
This special report provides a summary of some of the significant changes and developments that occurred in the past year in the private equity and hedge funds space, as well as certain recommended practices that investment...more