Industry Update
OCIE Director Wyatt Addresses National Society of Compliance Professionals 2016 National Conference
SEC Announces Enforcement Results for FY 2016
SEC Releases Statistics ...
President-Elect Trump’s transition website promises to “dismantle the Dodd-Frank Act and replace it with new policies to encourage economic growth and job creation.” To help our cl...
SEC Rules and Regulations
SEC Adopts Sweeping Reforms to Enhance Liquidity Risk Management for Mutual Funds and ETFs
SEC Adopts Rules to Modernize Information Reported by Investment Comp...
SEC Rules and Regulations
SEC Issues Notices of Intent to Issue Orders for Approved FINRA and MSRB Pay-to-Play Rules
SEC Adopts Amendments to Form ADV and Advisers Act Rules
Litigat...
SEC Rules and Regulations
SEC Staff Grants No-Action Relief under Section 12(d)(3) of the Investment Company Act to the AFL-CIO Housing Investment Trust to Organize and Acquire the Secur...
SEC Rules and Regulations
SEC Issues Proposed Rule Regarding Adviser Business Continuity and Transition Plans
Industry Update
SEC Division of Investment Management Publishes Business C...
SEC Rules and Regulations
SEC Issues Order Approving Higher Net Worth Threshold for Qualified Clients under the Advisers Act
Industry Update
Legal Implications of Brexit
FinCEN’s Fi...
On April 8, 2016 the Department of Labor published controversial final rules significantly expanding the definition of a fiduciary with respect retirement plan accounts for the purposes o...
On May 6, 2016 the Securities and Exchange Commission (“SEC”) joined the Board of Governors of the Federal Reserve System, the Office of the Comptroller of the Currency, the Federal D...
SEC Rules and Regulations
SEC Proposes Higher Net Worth Threshold for Qualified Clients under the Advisers Act
SEC Staff Grants No-Action Relief under Section 206(3) of the Advisers Act ...
