On February 15, 2023, the U.S. Securities and Exchange Commission (“SEC”) issued a proposed rule (the “Proposal”) under the Investment Advisers Act of 1940 (the “Advisers Act”), which would (i) amend certain provisions of the...more
3/20/2023
/ Comment Period ,
Custody Rule ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Funds ,
Proposed Rules ,
Registered Investment Advisors ,
Regulatory Agenda ,
Regulatory Reform ,
Safeguards Rule ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
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
On January 11, 2023, the staff of the SEC’s Division of Investment Management (the “Division Staff”) updated its list of frequently asked questions (“FAQs”) related to amended Rule 206(4)-1 (the “Marketing Rule”) under the...more
1/17/2023
/ Amended Rules ,
Financial Markets ,
Financial Regulatory Reform ,
Financial Services Industry ,
Investment ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
Marketing ,
Securities and Exchange Commission (SEC) ,
Securities Regulation