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SEC: Regulators

The order takes effect August 16, 2021. The definition of a qualified client moves to a net worth (together, in the case of a natural ...
The new agenda lists 49 items, many targeting investment advisers. Some are holdovers, but many are new
Sideletter
Seven arrests in five separate cases have put plenty of arrows into reformers' quivers.
In its first “formal communication” with new SEC Chairman Gary Gensler, the Investment Adviser Association lays out a regulatory agenda that ranges widely from calling ...
The Commission is announcing that it intends to hike the two tests that make one a qualified client. The AUM test will be raised from ...
We intend to issue an order that would increase the dollar amount of the assets-under-management test from $1,000,000 to $1,100,000, and would increase the dollar ...
'With better information, we can make better-informed regulatory decisions,' Dem Commissioner says.
The CCO is responsible for establishing and administering the compliance program that is designed to prevent violations of the obligations of a swap data repository ...
Two top SEC staffers have issued a fresh statement on blank-check companies, yet another sign that regulators are worried about irrational exuberance in the booming ...
Hester Peirce
The Division of Examinations’ new ESG risk alert “needs some context,” Commissioner Hester Peirce says in a new statement of her own. Peirce says she ...
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