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SEC Adopts Cybersecurity Amendments to Regulation S-P
The National Law Review· 6 days agoAs discussed in further detail below, the Amendments will require broker-dealers, investment...
Fifth Circuit Vacates SEC Private Fund Adviser Rules | JD Supra
JD Supra· 4 days agoIn adopting the Private Fund Adviser Rules, the SEC had highlighted the increasing importance of private...
SEC Finalizes Amendments to Regulation S-P
The National Law Review· 6 days agoRequiring brokers and dealers, investment companies, registered investment advisers, funding portals, and transfer agents registered ...
Department of Labor Releases New ERISA Fiduciary Rule | JD Supra
JD Supra· 3 days agoAdditionally, the DOL released final amendments to several prohibited transaction class exemptions (PTEs) available to investment advice fiduciaries, which, together with ...
Initial Form N-PX Filing Deadline for Institutional Investment Managers Approaching | JD Supra
JD Supra· 5 days agoInvestment managers required to file Form N-PX pursuant to Rule 14Ad-1 of the Securities Exchange Act of 1934, as amended, will face their initial Form N-PX filing deadline ...
Hedge Start: What Key Exemptions Apply to Hedge Funds?
The National Law Review· 5 days agoWe have separately discussed the common exemptions from registration of a fund manager with the...
Fifth Circuit Vacates SEC Private Fund Advisers Rule
The National Law Review· 6 days agoOn June 5, the US Court of Appeals for the Fifth Circuit vacated a US Securities and Exchange Commission (SEC) Rule designed to provide investors in...
Mid-Year Enforcement Update: SEC’s Continued Focus on Private Funds in 2024
The National Law Review· 3 days agoAs we reach the midpoint of 2024, the SEC has maintained its rigorous enforcement stance on the...
Understanding the Enhanced Regulation S-P Requirements
The National Law Review· 6 days agoOn May 16, 2024, the Securities and Exchange Commission adopted amendments to Regulation S-P, the regulation that governs the treatment of nonpublic personal information about consumers by certain ...
Make Sure Your Retirement Advisor Has The Training And Experience To Help You
Forbes· 3 days agoNowadays, you can find many people who call themselves “financial planners” or “retirement...
