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Rulemaking

'Train's moving,' expert warns
IAs, B-Ds and private funds all reluctant stars in FSOC report
Birdthistle mixed it up in battles over proxy voting, fees and ESG
'The investing public may not be getting like protections between traditional IPOs and SPACs,' Chairman says
Unregistered private funds have targets on their back
The proposed shift addresses the current impact of Exchange Act rule 15c3-1 (net capital rule) on settlement timing, particularly on smaller firms
Feds focused on custody, loans, stablecoins, and holding crypto assets legally
Rulemaking-by-enforcement may be coming to private funds
Tomorrow's Federal Register will contain a new OSHA rule directed at larger employers (with more than 100 staffers) that would encourage COVID vaccines or testing
Congress is weighing legislation that would require investment advisers and other “gatekeepers” to develop and maintain anti-money laundering policies and procedures. If passed, the ENABLERS ...
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