News & Analysis as of

Individual Retirement Account (IRA) Securities and Exchange Commission (SEC) Investment Advisers Act of 1940

Warner Norcross + Judd

Final Fiduciary Rule – Part 1: New Definition of Investment Advice Fiduciary

Warner Norcross + Judd on

The U.S. Department of Labor (DOL) released its final “investment advice rule” on April 23, 2024 — set to become effective in September — after several failed attempts, years of deliberations and multiple lawsuits. If not...more

Holland & Knight LLP

Good as Gold? Dual SEC/CFTC Trials Loom for Alleged Precious Metals Coin Fraud

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Digital assets are not the only coins drawing regulatory scrutiny these days. Earlier this year, the U.S. Securities and Exchange Commission (SEC) announced that it filed a complaint against California-based Red Rock Secured...more

Troutman Pepper

Investment Management Update - September 2020

Troutman Pepper on

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

Blank Rome LLP

Regulatory Update and Recent SEC Actions

Blank Rome LLP on

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

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