News & Analysis as of

New Regulations Conflicts of Interest

Bass, Berry & Sims PLC

New Organizational Conflict of Interest Regulations Coming Soon

Bass, Berry & Sims PLC on

On September 19, the Government Accountability Office (GAO) issued a report highlighting a gap in current Organizational Conflicts of Interest (OCIs) restrictions. According to the report, the Federal Acquisition Regulation...more

Pillsbury Winthrop Shaw Pittman LLP

DOL Expands Investment Advice Subject to Fiduciary Liability

Following previous failed attempts to expand the fiduciary liability of financial services providers, the DOL released a new rule that broadens the definition of “fiduciary” under ERISA. The new rule is expected to face...more

Pillsbury Winthrop Shaw Pittman LLP

SEC Adopts Long-Anticipated Rules for SPACs: Considerations for Market Participants and SEC Enforcement Objectives in the New...

The rules, originally proposed in March 2022, realign disclosures, marketing practices and other obligations in de-SPAC transactions more closely with traditional IPOs and add increased risk and uncertainty for market...more

Goodwin

SEC Adopts Expansive (Albeit Slightly Softened) Private Funds Rules

Goodwin on

Today, the SEC (U.S. Securities and Exchange Commission) has adopted the much anticipated so-called “Private Funds Rules” under the Investment Advisers Act of 1940 (the “Advisers Act”). The Private Funds Rules will impact not...more

Proskauer - Corporate Defense and Disputes

SEC Eyes Further Crypto Regulation as Concerns over Conflicts of Interest Loom

SEC Chair Gary Gensler appears to be readying the SEC for increasing oversight of cryptocurrency exchanges, the latest in a series of regulatory actions targeting the growing industry. In prepared remarks at PLI’s recent...more

Health Care Compliance Association (HCCA)

[Virtual Event] 2022 Research Conference - October 6th, 8:25 am - 4:30 pm CDT

Stay on top of the latest in research compliance - Do you want to learn: - Current best practices for building and maintaining a  research compliance work plan? - How to better shift your program’s research focus in...more

Bricker Graydon LLP

[Event] Clery & Title IX Drive-In Conference (Higher Education) - August 3rd - 4th, Gambier, OH

Bricker Graydon LLP on

Please join the Ohio Five, in conjunction with Kenyon College and Bricker & Eckler, for a Clery and Title IX training. Participants will have the opportunity to obtain their annual Clery Act training requirements, and...more

Health Care Compliance Association (HCCA)

[Event] Research Compliance Conference - June 8th - 10th, Anaheim, CA

Hear about the latest in research compliance - Do you want to learn… - How to prepare for upcoming changes in Medicaid? - Ways to build and maintain a better research compliance work plan for your program? - How...more

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

Title IX Training Requirements Come Into Focus

The U.S. Department of Education released new regulations this spring under Title IX of the Education Amendments of 1972, which prohibits discrimination on the basis of sex in education programs or activities receiving...more

Bricker Graydon LLP

[Virtual Event] Fundamentals Training for Decision-Makers in Live Cross-Examination Hearings Under the New Title IX Regulations -...

Bricker Graydon LLP on

Presented by higher education attorneys Jessica Galanos and Erin Butcher, this two-day training covers the necessary information for decision-makers according to the new Title IX regulations, as well as provides practice...more

Latham & Watkins LLP

FINRA’s New Research Rules

Latham & Watkins LLP on

The new rules retain many of the current rules’ core requirements, but expand certain obligations and impose requirements on debt research activities for the first time. On August 26, 2015, the Financial Industry...more

Morgan Lewis

SEC Approves Long-Anticipated FINRA Research Rules

Morgan Lewis on

New FINRA Rule 2241 consolidates and expands upon legacy NASD and NYSE rules to address equity research analyst activities, equity research reports, and conflicts of interest relating to equity research analysts. New FINRA...more

Dorsey & Whitney LLP

This Week In Securities Litigation

Dorsey & Whitney LLP on

In the roll-up to the Labor Day weekend, the SEC issued new rules regarding asset backed securities and credit rating agencies. The Commission also announced a new pilot program on tick size....more

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