REGULATORY UPDATES -
William Birdthistle Named Director of Division of Investment Management -
On December 21, 2021, the Securities and Exchange Commission (“SEC”) announced the appointment of William A. Birdthistle as...more
1/19/2022
/ Electronic Filing ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
ETFs ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Company Act of 1940 ,
PCAOB ,
Popular ,
Proxy Voting ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC)
REGULATORY UPDATES -
SEC Leadership Changes -
On April 17, 2021, Gary Gensler was sworn into office as the Chair of the Securities and Exchange Commission (the “SEC”). Gensler served as chair of the U.S. Commodity Futures...more
7/16/2021
/ Broker-Dealer ,
Corporate Governance ,
Diversity ,
Dodd-Frank ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Company Act of 1940 ,
Popular ,
Proxy Voting ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals ,
Swap Data Repositories ,
Universal Proxy Cards
REGULATORY UPDATES -
SEC Adopts Amendments to Exemptive Applications Procedures -
On July 6, 2020, the Securities and Exchange Commission (the “SEC”) announced the adoption of rule amendments that establish an expedited...more
REGULATORY UPDATES -
FINRA Issues Regulation Best Interest Checklist for Brokers -
On October 8, 2019, the Financial Industry Regulatory Authority (“FINRA”) announced it will provide new resources to assist member firms...more
1/17/2020
/ Business Development Companies ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Institutional Shareholder Services (ISS) ,
Investment Adviser ,
Investment Company Act of 1940 ,
OCIE ,
Proposed Amendments ,
Regulation Best Interest ,
Securities and Exchange Commission (SEC) ,
Shareholders
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 -
U.S. Securities and Exchange Commission (“SEC”) Offers Responses to Frequently Asked Questions on New Liquidity Rule -
On January 10, 2018, the Division of Investment Management issued responses to a...more
FINRA Bar Results from Assertion of Fifth Amendment Right against Self-Incrimination in Criminal Action -
On October 5, 2016, the Financial Industry Regulatory Authority (“FINRA”) barred an indicted investment adviser,...more
1/12/2017
/ Broker-Dealer ,
Chief Compliance Officers ,
Department of Labor (DOL) ,
Enforcement Actions ,
ETFs ,
Fiduciary Rule ,
Fifth Amendment ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Investment Company Act of 1940 ,
Liquidity Risk Management Rule ,
Market Abuse ,
OCC ,
OCIE ,
Popular ,
Securities and Exchange Commission (SEC) ,
Whistleblowers