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SEC Proposes New Rule Relating to Outsourcing of Services by Investment Advisers

USA - November 8 2022 The US Securities and Exchange Commission recently proposed a new rule and rule amendments that, if adopted as proposed, would require registered…

Abigail Bertumen, Timothy Cummings, Christine Lombardo, Barbara Murphy Melby

SEC Adopts Rule Amendments to Electronic Recordkeeping Requirements

USA - October 28 2022 On October 12, 2022, the US Securities and Exchange Commission (SEC or Commission) adopted amendments (Final Rules) to the electronic recordkeeping…

Nicole Alkire, Margaret R. Blake, David C. Boch, Timothy Cummings, Ariel Gursky, Ben A. Indek, Amy Natterson Kroll, Christine Lombardo, Ignacio A. Sandoval, Kyle D. Whitehead

FinCEN Establishes Beneficial Ownership Reporting Requirements to Implement Corporate Transparency Act

USA - October 11 2022 On September 30, the US Treasury's Financial Crimes Enforcement Network (FinCEN) published, in the Federal Register, a final rule (Final Rule) that…

Nicole Alkire, Gregg S. Buksbaum, EMILY DRAZAN CHAPMAN, Giovanna M. Cinelli, Ivan P. Harris, Martin Hirschprung, Charles M. Horn, Jeffrey R. Johnson, Ethan W. Johnson, Amy Natterson Kroll, Albert Lung, W. John McGuire, Christopher D. Menconi, Courtney C. Nowell, Robin Nunn, Kenneth J. Nunnenkamp, E. John Park, Michael M. Philipp, Andrew M. Ray, Sarah V. Riddell, Charles Stone, Charles A. Sweet, Alison Tanchyk, Daniel B. Tehrani, Carl A. Valenstein

US Department of Labor Proposes Extensive Changes to QPAM Exemption

USA - July 29 2022 The US Department of Labor (DOL) published in the July 27, 2022, Federal Register a number of proposed changes to Prohibited Transaction Class…

Robert L. Abramowitz, Rosina Barker, Lisa H. Barton, Craig A. Bitman, Althea R. Day, John G. Ferreira, Elizabeth S. Goldberg, Matthew H. Hawes, Lindsay B. Jackson, Amy Pocino Kelly, Daniel R. Kleinman, Marla J. Kreindler, Christine Lombardo, Randall C. McGeorge, Gregory L. Needles, Michael B. Richman, Helen Rizos, Daniel R. Salemi, Julie K. Stapel, R. Randall Tracht, David B. Zelikoff, Jonathan Zimmerman

SEC Staff Pulls Rug Out From Under ‘Hard Dollar’ Research Arrangements

USA - July 27 2022 The staff of the US Securities and Exchange Commission Division of Investment Management announced that it would allow its October 26, 2017 no-action…

Amy Natterson Kroll, Ignacio A. Sandoval