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Proxy Vote Reporting: Considerations for Institutional Investment Managers as the Form N-PX Filing...
JD Supra· 2 hours agoNew Rule 14Ad-1 under the Exchange Act – which becomes effective on July 1, 2024 – will require institutional investment managers subject to the reporting requirements ...
FinCEN and SEC propose Customer Identification Program requirements for investment advisers | JD...
JD Supra· 6 days agoEarlier in May 2024, the Financial Crimes Enforcement Network (FinCEN) continued its efforts to require registered investment advisers (RIAs) and exempt ...
Regulatory Roundup for May 2024 | JD Supra
JD Supra· 5 days agoThe SEC adopted extensive new requirements under Regulation S-P that will require broker-dealers, investment companies, registered < ...
FinCEN and SEC Propose Rulemaking Requiring CIP for Investment Advisers | JD Supra
JD Supra· 6 days agoOn May 13th, the Financial Crimes Enforcement Network (FinCEN) and the Securities Exchange Commission (SEC) issued a joint notice of proposed rulemaking (NPRM) that would require SEC-
SEC and FinCEN Propose Customer Identification Program Requirements for Registered Investment...
JD Supra· 6 days ago(FinCEN) jointly proposed a new rule that would require certain investment advisers to establish customer identification programs (CIPs). A CIP would need to include risk-based ...
JD Supra: SEC Settles with Five Investment Advisers for Marketing Rule Violations
JD Supra· 4 days agoThe SEC recently settled charges against five registered investment advisers for violations of the marketing rule (“Marketing Rule”) under the Investment Advisers Act of 1940 (“Advisers...
Fuchs Financial: Scenario-Based Planning for Retirement
WTNH-TV New Haven· 2 days agoHARTFORD, Conn. (WTNH) – Connecticut’s Morning Buzz’s Rachel Lutzker recently met with Ben Fuchs,...
SEC Expands Security and Breach Notification Requirements for Investment Firms | JD Supra
JD Supra· 4 days agoBrokers, dealers, investment companies, investment advisers, crowdfunding portals, and transfer agents registered with the SEC or another ...
We Are Still Bullish | ETF Trends
ETF Trends· 4 days agoEvery week, our research team aggregates all the macroeconomic indicators that Astoria monitors. Also, Frank Tedesco sent out a message, but I am...
Client Alert: The SEC Expands Its Cybersecurity Oversight by Adopting Regulation S-P Amendments | JD...
JD Supra· 1 day agoCovered financial institutions—including any broker-dealer, investment company, registered investment adviser, or transfer agent—will ...