President Biden's New Executive Order on Environmental Justice Broadly Expands Environmental Justice Requirements -
The Biden Administration has issued Executive Order (EO) 14096: Revitalizing Our Nation's Commitment to...more
SEC Announces Inspection Priorities for 2023 -
On February 7, the Securities and Exchange Commission (SEC) announced its inspection priorities for the current year. The announcement began by noting that the SEC examined 15...more
2/22/2023
/ Broker-Dealer ,
Disclosure Requirements ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Fiduciary Duty ,
Fund Managers ,
Investment Adviser ,
Investors ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Whistleblowers
In 2021, the Securities and Exchange Commission (SEC) took the industry off-guard by announcing its new position that Rule 15c2-11 of the Securities Exchange Act of 1934 (Rule) and its amendments apply to fixed-income...more
On August 27, the Securities and Exchange Commission at an open meeting unanimously adopted Regulation AB II (Reg AB II). The final rule provides significant revisions to Regulation AB, which provides the rules regarding the...more
In this issue:
- SEC Decreases Registration Statement Filing Fees for Fiscal Year 2015
- SEC Adopts Regulation AB II
- US Banking Regulators Propose Margin Requirements for Uncleared Swaps
- CME...more