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SEC: Regulators
The compliance burden of the newly relaxed Volcker Rule will fall heaviest on banks but no one on either side of the reopened ledgers will ...
Banks will now be allowed to back private equity and venture capital funds for “limited low-risk” transactions, “including risk-less principal transactions” under changes to the ...
Officially, the SEC is suing a South Florida digital investment adviser for failure to maintain and hand over its books and records—including those behind a ...
FINRA and the other SROs are now on the clock to publish their plans for the looming consolidated audit trail requirements after a divided Commission ...
Large size broker-dealers will be allowed to comply with Consolidated Audit Trail requirements over a new, phased timeline, and small-to-medium sized firms that had been ...
Proposed SEC rules that would allow registered investment companies to delegate fund valuations to their investment advisers represent an excellent opportunity for IAs to get ...
Investment advisers will be able to borrow from sister funds during the coronavirus pandemic, the SEC has announced. The March 23 order allows funds to ...
Activist investor Jeffrey Eberwein has gotten himself back into hot water with the SEC, this time for failing to disclose conflicts of interests as he ...
The SEC has closed the books again on one of the biggest insider trading scandals of this century. Under a consent decree entered in federal ...
“I think it’s going to be a big year for adviser regulations”
These items become effective this year
The U.S. House has passed a $1.4 trillion budget that will give SEC Chairman Jay Clayton a free hand to implement Reg BI but that ...
Nearly 50 regulatory rules are being considered by the SEC
“Trust,” longtime DC pundit David Gergen once said, “is the coin of the realm in politics.” As long as SEC Chairman Jay Clayton has his ...
The Securities and Exchange Commission (the “SEC” or the “Commission”) is providing an interpretation and related guidance regarding the applicability of certain rules, which the ...
The Supreme Court March 27 by a 6-2 vote ruled that a key Exchange Act rule permits a defendant to be liable for sending investors ...
The SEC has officially increased its civil money penalties for Advisers Act and other violations, applying an inflation adjustment similar to what the CFTC did ...
We are adopting a rule to implement a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The new rule requires a company ...
Next year promises to be a monumental one for investment advisers and broker-dealers. The SEC has released its regulatory calendar and it states the Commission’s ...
Both the SEC and the CFTC have staked regulator claims in the burgeoning virtual currency space. Hand the CFTC a victory in a recent court ...
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