News & Analysis as of

Enforcement Actions Recordkeeping Requirements Proposed Rules

Mitchell, Williams, Selig, Gates & Woodyard,...

Water System Restructuring Assessment Rule/Safe Drinking Water Act: U.S. Environmental Protection Agency Announces Proposed Rule

The United States Environmental Protection Agency (“EPA”) announced what it describes as the: Water System Restructuring Assessment Rule (“WSRA”). The WSRA is described as outlining a framework for states, public...more

Eversheds Sutherland (US) LLP

Dual registrant regulatory roundup - May 2024

Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more

Mintz - Antitrust Viewpoints

SEC Chair Doubles Down on AI Conflict of Interest Rules, Warns Firms Not to “AI-Wash” — AI: The Washington Report

Welcome to this week’s issue of AI: The Washington Report, a joint undertaking of Mintz and its government affairs affiliate, ML Strategies. This issue covers recent statements by US Securities and Exchange Commission...more

Skadden, Arps, Slate, Meagher & Flom LLP

Investment Management Update - November 2023

...SEC Adopts Amendments to Fund Names Rule - On September 20, 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments to Rule 35d-1 under the Investment Company Act of 1940 (the Fund Names Rule) as well...more

Goodwin

SEC Finalizes Reforms Under Investment Advisers Act

Goodwin on

In this Issue. The Securities and Exchange Commission (SEC) finalized reforms under the Investment Advisers Act to modernize rules that govern investment adviser advertisements and payments to solicitors, and published a risk...more

Fisher Phillips

Your Comprehensive Guide to 2018 Proposed California Legislation

Fisher Phillips on

February 16 was the deadline to introduce new bills in the California Legislature. By that date, nearly 2,200 bills were introduced. While that may seem like a staggering amount of legislative proposals (especially for a...more

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