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SEC Proposes Sweeping Revisions to Advisers Act Custody Rule
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Securities Enforcement and Regulatory Resource Center
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SECSEC Proposes Sweeping Revisions to Advisers Act Custody Rule
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SECSEC Re-Proposes Rule Prohibiting Certain Conflicts of Interest in Securitization Transactions
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FINRAFINRA Issues 2023 Report on Its Examination and Risk Monitoring Program
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Market StructureSEC Proposes Rules Related to Minimum Pricing Increments, Access Fee Caps, and Transparency of Better Priced Orders
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Market StructureSEC Proposes Rule to Enhance Competition for Certain Individual Investor Orders
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Market StructureSEC Proposes Amendments to Modernize Disclosure of Order Execution Information
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Market StructureSEC Proposes Comprehensive Best Execution Framework for Broker-Dealers
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SEC, Insider TradingSEC Adopts Significant Changes to Rule 10b5-1 Trading Regime and Related Disclosures
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SECEnforcement Update: Recent SEC Actions Against Investment Advisers to Private Funds, Registered Funds, and Retail Clients
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SECSEC Overhauls Mutual Fund and ETF Shareholder Reports
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SECSEC Modernizes Broker-Dealer Recordkeeping Requirements
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SECU.S. Adviser Marketing Rule: Compliance Deadline Approaching, Exams to Follow
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FINRA, SECFINRA Issues Revised Sanction Guidelines
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SECFinal SEC Pay-Versus-Performance Rule Will Require Extensive New Disclosures in 2023 Proxy Statements
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FINRA, SECSEC Proposes to Expand FINRA Oversight of Proprietary Trading Firms
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SECSEC Adopts Rules Requiring Electronic Filing for Form 13F Confidential Treatment Requests
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SECSEC Proposes Amendments to the Substantial Implementation, Duplication, and Resubmission Bases for Excluding Shareholder Proposals
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SECSEC Requests Comment on Regulation of Information Providers Under the U.S. Investment Advisers Act
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SECSEC to Require Electronic Filing of Forms 144 via EDGAR
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Insider TradingSDNY Files First Indictment Related to Insider Trading of NFTs While SEC Enforcement Expands Focus on Digital Assets Broadly
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SEC, ESGSEC Proposes New ESG Disclosures for Investment Advisers and Funds
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SECSEC Proposes to Expand Fund Names Rule
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SECD.C. Circuit Upholds SEC’s Market Data Infrastructure Rules, Paving the Way for Competing Consolidators
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SECWhat Fund Managers and Investors Should Know About the SEC’s Bold New Regulatory Agenda
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SECFederal Appeals Court Holds SEC Administrative Proceedings Are Unconstitutional
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ESG, SECSEC Brings First ESG-Related Action Since Creating Climate and ESG Task Force
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SEC, Insider TradingSEC EXAMS Staff Identify Deficiencies in Adviser MNPI Controls
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SECSEC Takes Another Try at Removing Credit Rating References From Regulation M
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SECSEC Proposes Significant Expansion of Firms That Must Register as Dealers
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SECThe SEC Has Crypto in Its Crosshairs (Again)
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SECSEC Announces 2022 Examination Priorities: Private Funds, ESG, Retail, Cyber, Digital Assets Top the List
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ESGSEC Proposes Far-Reaching Rules for “Enhancement and Standardization” of Climate-Related Disclosures
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FINRAFINRA Issues Regulatory Notice on Failure to Supervise Liability for Chief Compliance Officers
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Anti-Money LaunderingUK Economic Crime (Transparency and Enforcement) Bill
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SEC, Short Sales/Reg SHO“Get Shorty” Again! — What You Need to Know About The SEC’s Proposed New Short Disclosure/Short Sale and Consolidated Audit Trail Requirements
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SECNewly Proposed SEC Cybersecurity Risk Management Rules and Amendments for Registered Investment Advisers and Funds
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FINRAFINRA Issues 2022 Report on Its Examination and Risk Monitoring Program
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SECSEC Proposes to Shorten Beneficial Ownership Reporting Deadlines, Expand Scope — How Will It Affect You?
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SECSEC Proposes Significant Changes for Advisers and Private Funds
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SECSEC Proposes Significant Expansion of Regulation ATS
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SECSEC Chair: Sweeping New Cybersecurity Rules Are Coming Soon
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SECSEC Encourages Self-Reporting of Recordkeeping Violations Resulting From Employees’ Use of Personal Devices for Business Communications
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Anti-Money LaunderingFinCEN Proposed Rule Will Require Many Domestic and Foreign Entities to Report Beneficial Ownership Information to the U.S. Government
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SEC, Short Sales/Reg SHOHedge Fund Adviser and Associated Individuals Pay Over $8 Million to SEC for “Causing” Reg SHO and Dealer Registration Violations
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Insider TradingImplications of SEC’s Recent Insider Trading Enforcement Action in SEC v. Matthew Panuwat
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FINRAFINRA Announces Impending Special Purpose Acquisition Company Sweep
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ESG“How to Be ESG” — A Registered Fund Board’s Guide to ESG Compliance
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Anti-Money LaunderingFinCEN Issues Government-Wide Priorities for Anti-Money Laundering and Counter-Terrorist Financing
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ESG“How to Be ESG” — A Private Fund’s Guide to ESG Compliance
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Short Sales/Reg SHO, FINRA“Get Shorty” – FINRA Requests Comment on Proposed Significant Changes to Short Position and Stock Loan Reporting
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Anti-Money LaunderingFinCEN Seeks Public Comments on Beneficial Owner Reporting Requirements
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Anti-Money LaunderingFINRA 2021 Report Reminds Firms Key AML Regulatory Expectations Center Around Risk
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FINRAFINRA Issues 2021 Report on its Examination and Risk Monitoring Program
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Anti-Money LaunderingCongress Rings in the New Year With Substantial Changes to Anti-Money Laundering Laws
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