REGULATORY UPDATES -
SEC -
Leadership Changes On April 14, 2021, the U.S. Senate voted to approve President Biden’s nomination of Gary Gensler as Chairman of the Securities and Exchange Commission (the “SEC”) through June...more
4/16/2021
/ CFTC ,
Department of Labor (DOL) ,
Employee Retirement Income Security Act (ERISA) ,
Environmental Social & Governance (ESG) ,
Fiduciary Duty ,
Fiduciary Rule ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
No-Action Relief ,
OCIE ,
Popular ,
Retail Investors ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC)
REGULATORY UPDATES -
Allison Herren Lee Sworn in as Commissioner -
On July 8, 2019, Allison Herren Lee was sworn into office as a Securities and Exchange Commission (“SEC") Commissioner. Lee was nominated to the SEC by...more
11/6/2019
/ Division of Investment Management ,
Enforcement Actions ,
ETFs ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
OCIE ,
Proxy Voting Guidelines ,
Regulation Best Interest ,
Securities and Exchange Commission (SEC) ,
Testing-the-Waters Communications
REGULATORY UPDATES -
Investors Continue to Press Regulators for Disclosure of Environmental, Social, and Governance (“ESG”) Risks...more
7/19/2019
/ Broker-Dealer ,
Cybersecurity ,
Department of Labor (DOL) ,
Division of Investment Management ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
ETFs ,
Fiduciary Duty ,
Fiduciary Rule ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Company Act of 1940 ,
Investors ,
Mutual Funds ,
OCIE ,
Popular ,
Regulation S-P ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC)
REGULATORY UPDATES -
The U.S. Securities and Exchange Commission (“SEC”) Rule Permitting Electronic Delivery of Materials as Default Method Faces Backlash -
On August 8, 2018, the Coalition for Paper Options (“CPO”),...more