Videocast: Asset management regulation in 2020 videocast series – The annuity regulatory landscape
On February 15, 2023, the Securities and Exchange Commission (SEC) adopted a set of rule amendments and new rules to facilitate the shortening of the standard settlement cycle for most broker-dealer transactions from two...more
On April 17, 2024, President Judge Shawn D. Meyers signed an Order adopting a new Local Rule for Franklin and Fulton counties, which is codified at 39th Jud.Dist.O.C. Rule 14.8.1. This new Local Rule requires the completion...more
This RIA Regulatory Review highlights certain key regulatory developments affecting investment advisers. Please contact us with any questions on the topics covered below. The SEC Adopts Significant New Rules for Private...more
On August 23, 2023, a divided Securities and Exchange Commission (SEC) adopted far-reaching new rules and rule amendments under the Investment Advisers Act of 1940, as amended (Advisers Act). While the final rules are not as...more
Major changes to the Telephone Consumer Protection Act (TCPA) regulations applicable to unsolicited informational robocalls to landlines are coming into effect on July 20, 2023. As anyone with a landline telephone during...more
The United States Small Business Administration (“SBA”) oversees two loan programs that are intended to benefit small business owners and promote employment. The programs, known as the 7(a) Loan Program and Section 504 Loan...more
On April 24, 2023, the Illinois Supreme Court announced an amended rule permitting service of summons through electronic means of communication. The new rule, effective immediately, clarifies the procedure for using this...more
The SEC has adopted rule and form amendments requiring mutual funds, ETFs, and certain other registered funds (funds) to report more details about their voting of portfolio company proxies. ...more
In December 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended. Those finalized amendments merged the...more
During the third quarter of 2022, the SEC amended rules governing proxy voting advice, proposed amendments to shareholder proposal regulation, and adopted its long-awaited final pay versus performance disclosure rules (a...more
On December 22, 2020, the U.S. Securities and Exchange Commission (“SEC”) announced that it was adopting amendments under the Advisers Act of 1940 (the “Advisers Act”) to implement a revised Rule 206(4)-1 (the “Marketing...more
On Monday, September 19, 2022, the SEC’s Division of Examinations issued a Risk Alert announcing their intent to conduct targeted reviews of registered investment advisers regarding compliance with amended Advisers Act Rule...more
Cyber fraud costs the financial services industry billions in losses each year and has been on the rise. Regulation has followed, creating risks of a different kind. This timely webinar will walk through some of the latest...more
On 9 February 2022, the U.S. Securities and Exchange Commission (the SEC) proposed new rules and amendments to existing rules (together, the Proposed Rules) addressing cybersecurity risk management under the Investment...more
After months of speculation, we now know what rules the FTC will launch or possibly amend in 2022, thanks to a Statement of Regulatory Priorities the FTC published December 9. The headlines? In addition to reviewing or...more
As we’ve previously blogged, in November 2020, the Securities Exchange Commission (SEC) adopted amendments to the Regulation S-K items related to Management’s Discussion and Analysis (MD&A) as well as certain selected...more
In This Issue. The Financial Industry Regulatory Authority (FINRA) adopted new rules to address firms with a significant history of misconduct; the Securities and Exchange Commission (SEC) issued an order approving rule...more
The Economic Aid to Hard-Hit Small Businesses, Nonprofits and Venues Act (Economic Aid Act), enacted into law on December 27, 2020, provides additional, much-needed relief to businesses and families economically impacted by...more
On November 19, 2020, the Securities and Exchange Commission (SEC) adopted amendments to certain financial disclosure requirements of Regulation S-K, including those applicable to the Management’s Discussion and Analysis of...more
The U.S. Securities and Exchange Commission on October 28, 2020 approved by a 3-2 vote a new rule and rule amendments (collectively, Final Rule) related to the use of derivatives and certain other transactions by registered...more
This edition of Employment Flash summarizes key employment law issues, including the Department of Labor's proposal for determining independent contractor status, revised DOL regulations that clarify who qualifies for...more
President Trump’s Buy American, Hire American Executive Order encouraged the United States Department of Labor (DOL) and the United States Department of Homeland Security (DHS) to propose new rules and guidance that will...more
RULEMAKING AND GUIDANCE - SEC Adopts Amendments to Exemptive Applications Procedures - On July 6, 2020, the U. S. Securities and Exchange Commission adopted rule amendments to establish an expedited review procedure...more