The Securities and Exchange Commission (the “SEC”) adopted a new short position and short activity disclosure requirement under Rule 13f-2 of the Securities Exchange Act of 1934 (the “Exchange Act”). Under Rule 13f-2, an...more
11/10/2023
/ Banking Sector ,
Broker-Dealer ,
Brokers ,
Disclosure Requirements ,
Equity Securities ,
Financial Services Industry ,
Institutional Investors ,
Insurance Industry ,
Investment Adviser ,
New Regulations ,
Pension Funds ,
Regulation SHO ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
The Securities and Exchange Commission (the “SEC”) proposed new rules under the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940 to address the risks to investors from conflicts of interest associated...more
8/17/2023
/ Analytics ,
Artificial Intelligence ,
Broker-Dealer ,
Conflicts of Interest ,
Financial Services Industry ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Machine Learning ,
Proposed Rules ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934
This RIA Regulatory Review highlights certain key regulatory developments affecting investment advisers....more
In 2022, the U.S. Securities and Exchange Commission (the “SEC”) proposed numerous new and amended rules (“proposals”) that would apply to SEC-registered investment advisers (“Registered Advisers”), including private fund...more