In this issue we discuss, among other things, a Division of Examinations risk alert relating to the Marketing Rule, SEC Chair Gary Gensler’s remarks regarding crypto tokens and securiti...
In this issue we discuss, among other things, a Division of Examinations risk alert relating to the Marketing Rule, SEC Chair Gary Gensler’s remarks regarding crypto tokens and securiti...
In this issue, we discuss proposed amendments to Form PF by the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC).
In this issue, we discuss proposed amendments to Form PF by the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC).
In this issue, we discuss, among other things, rule amendments that require electronic submission of Advisers Act exemptive order applications and Form 13F confidential treatment requests...
In this issue, we discuss, among other things, rule amendments that require electronic submission of Advisers Act exemptive order applications and Form 13F confidential treatment requests...
In this issue, we discuss, among other things, proposed amendments to the “Names Rule” under the Investment Company Act, and proposed disclosure requirements for investment advisers a...
In this issue, we discuss, among other things, an SEC rule proposal relating to ESG disclosures and a recent enforcement action relating to alleged ESG disclosure failures.
