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Regulation (202)
Your search for Regulation returned 202 results.
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3/21/2019 | Content area: Investment Adviser
Investment companies will enjoy a phase-in period before being required to file disclosures with the SEC in an HTML format with hyperlinks. The first ...
3/21/2019 | Content area: Investment Adviser
The Securities and Exchange Commission (the “Commission”) is proposing rules that would modify the registration, communications, and offering processe...
3/21/2019 | Content area: Investment Adviser
We are adopting amendments to modernize and simplify certain disclosure requirements in Regulation S-K, and related rules and forms, in a manner that ...
3/14/2019 | Content area: CPO/CTA
One of the most important NFA rules is 2-9 (supervision). Now the SRO is amending it. For instance, the rule will not longer refer to the NFA’s “Compl...
2/15/2019 | Content area: Broker-Dealer
The Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) is proposing rules that would require the application of specific risk mitigation t...
2/14/2019 | Content area: Private Fund
It took awhile but the federal agencies united in the Volcker rule finally have published their proposed changes. The Feb. 8th Federal Register reveal...
2/11/2019 | Content area: CPO/CTA
The Commodity Futures Trading Commission (Commission) is amending its rules governing the maximum amount of civil monetary penalties to adjust for inf...
11/13/2018 | Content area: CPO/CTA
The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is amending the de minimis exception within the ‘‘swap dealer’’ definition in th...
9/21/2018 | Content area: Broker-Dealer
The Commission is proposing an amendment to the exemption provisions in the broker-dealer annual reporting rule under the Securities Exchange Act of 1...
7/26/2018 | Content area: Broker-Dealer
It now seems certain that FINRA will be imposing new restrictions on firms that employ brokers “with a history of significant past misconduct.” But ho...
7/12/2018 | Content area: Investment Adviser | Private Fund
The world’s a tiny place when it comes to financial services. Private fund managers are reaching out to new places, attracting new investors. But when...
6/22/2018 | Content area: Investment Adviser
U.S.-based advisers that sell into the EU could be excused if they’re still perplexed by what the General Data Protection Regulation means to them one...
2/15/2018 | Content area: CPO/CTA
The Commodity Futures Trading Commission (the “Commission”) is amending its primary definitions regulation to make it more user-friendly both to indus...
2/08/2018 | Content area: Investment Adviser
An order appearing in the Feb. 8 Federal Register pushes the SEC’s current exemptive order for most of its security-based swap rules to Feb. 9, 2019. ...
1/01/2018 | Content area: Investment Adviser
Let’s admit that it’s hard to predict what will happen in 2018 after last year’s wild ride. Yet we have heard experts offer that the New Year will bri...
1/01/2018 | Content area: Investment Adviser
     We’ve shared predictions for the regulatory year ahead (see related story). Now check out the regulatory calendar for 2018. Com...
12/21/2017 | Content area: CPO/CTA
In yet another sign of growing regulator interest in the murky world of digital currencies, the CFTC requests comments on how it may interpret “actual...
12/14/2017 | Content area: Investment Adviser
The Securities and Exchange Commission (the ‘‘Commission’’) is adopting a temporary final rule that requires funds in larger fund groups to maintain i...
11/28/2017 | Content area: CPO/CTA
The Commodity Futures Trading Commission (CFTC or Commission) is correcting a final rule published in the Federal Register on January 6, 2016. The rul...
7/20/2017 | Content area: Investment Adviser
January can seem a long way away in July but the start of MiFID II early next year will require certain firms to take actions long before then (IA Wat...


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