Rules and Regulations

  • SEC Adopts Technical Amendments to Form ADV and Form ADV-W to Reflect Enactment of a Wyoming State Law Regulating Investment Advisers
  • House Approves Revised Financial CHOICE Act

Industry Update

  • SEC Releases Statistics Report on Private Funds
  • SEC Chairman Issues Public Statement Seeking Comments on DOL Fiduciary Rule
  • DOL Fiduciary Rule Comes into Effect

Litigation

  • SEC Charges Brokerage Firm with AML Violations
  • Supreme Court Rules that SEC Disgorgement Actions Are Subject to Five-Year Statute of Limitations

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