On March 19, 2025, the Securities and Exchange Commission’s (SEC) Division of Investment Management staff (Staff) issued two new Frequently Asked Questions (FAQs) focused on Rule 206(4)-1 under the Investment Advisers Act of...more
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
3/7/2025
/ Blockchain ,
Broker-Dealer ,
Corporate Financing ,
Corporate Governance ,
Cryptoassets ,
Cryptocurrency ,
Cybersecurity ,
Digital Assets ,
Enforcement Actions ,
FinTech ,
Investment ,
Investment Adviser ,
Regulatory Agenda ,
Securities and Exchange Commission (SEC)
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
11/12/2024
/ Broker-Dealer ,
Digital Assets ,
Enforcement ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Investment ,
Investment Adviser ,
NASAA ,
NYSE ,
Regulatory Agenda ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Technology Sector
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
7/9/2024
/ Appeals ,
Broker-Dealer ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Services Industry ,
Investment ,
Investors ,
Registration Requirement ,
Regulation S-P ,
Regulatory Requirements ,
SEC Examination Priorities ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Securities Regulation ,
Statutory Authority ,
Vacated