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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...
SEC Tightens Cybersecurity Requirements with Regulation S-P Amendments
The National Law Review· 15 hours agoFor covered institutions (generally, broker-dealers, investment companies, registered investment...
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 ...
Like Leveraged ETFs? SEC Panel Wants Brokerage Firms to Vet Who Can Trade Such ‘Complex Products.’
Barrons.com· 7 days agoThe commission’s Investor Advisory Committee wants regulators to first come up with a definition for...