REGULATORY UPDATES -
SEC Announces Leadership Changes -
Anthony (“Tony”) C. Thompson was appointed to a second term as a board member of the Public Company Accounting Oversight Board (“PCAOB”), which will run until...more
10/18/2022
/ Board of Directors ,
Diversity ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Investors ,
PCAOB ,
Proposed Amendments ,
Proxy Voting ,
Rule 14a-8 ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals
REGULATORY UPDATES -
Senate Confirms Jackson as Supreme Court Justice -
The Senate has voted to confirm Judge Ketanji Brown Jackson as the 116th Supreme Court justice and the first Black woman and former public defender to...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 -
U.S. Securities and Exchange Commission (“SEC”) Proposes Rule Change to Address Auditor Independence -
On May 3, 2018, the SEC proposed to amend its auditor independence rule, Rule 2-01 of...more
7/30/2018
/ Administrative Law Judge (ALJ) ,
Anti-Money Laundering ,
Auditor Independence ,
Auditors ,
Department of Labor (DOL) ,
Enforcement Actions ,
Fiduciary Rule ,
Financial Industry Regulatory Authority (FINRA) ,
Individual Retirement Account (IRA) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Proposed Amendments ,
Regulation S-X ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Shareholders ,
Trump Administration