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SEC and FinCEN Propose New Rule: Mandatory Customer Verification for Investment Advisers in 2024 |...
JD Supra· 1 day agoOn May 13, the US Securities and Exchange Commission (SEC) and the US Department of the Treasury’s (USDT) Financial ...
SEC Modernizes Data Protection Rules for Safeguarding Customer Information | JD Supra
JD Supra· 3 days agoLast month, the Securities and Exchange Commission (the SEC or the Commission) unanimously voted to adopt amendments ...
Hot Topics in International Trade - June 2024 - Recent Developments in Digital Assets Policy | JD...
JD Supra· 3 days agoThe collapse of crypto exchange FTX and numerous enforcement actions taken by the Securities Exchange Commission ( ...
Hedge Start: What Key Exemptions Apply to Hedge Funds?
The National Law Review· 2 days agoWe have separately discussed the common exemptions from registration of a fund manager with the...
SEC Moves Closer to Regulating the Use of AI by Broker-Dealers and Investment Advisers | JD Supra
JD Supra· 4 days agoThe Securities and Exchange Commission (SEC) held an open meeting of its Investment Advisory Committee on June 6, 2024, which featured ...
JD Supra: Securities Act Rule 192 – Conflicts of interest relating to certain securitizations
JD Supra· 5 days agoThis...securitization participants from engaging in any transactions involving an asset-backed security (“ABS”) that would involve or result in any material conflict of interest ...
SEC Adopts Cybersecurity Amendments to Regulation S-P
The National Law Review· 4 days agoOn May 16, 2024, the U.S. Securities and Exchange Commission finalized amendments to Regulation...
Companies are making deceptive claims on artificial intelligence. It's call 'AI washing'
The Commercial Appeal via Yahoo News· 3 days agoMisleadingly use the term “intelligent” – when, in fact, the software doesn’t use algorithms capable...
New SEC Cybersecurity Rules: What to Know and How to Remain Compliant | JD Supra
JD Supra· 2 days agoAs addressing cybersecurity issues continues to become a top priority throughout the financial industry, the U.S. Securities and Exchange Commission ...
SEC Tightens Cybersecurity Requirements with Regulation S-P Amendments
The National Law Review· 19 hours agoFor covered institutions (generally, broker-dealers, investment companies, registered investment...
