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CFTC Approves Amendments to Recordkeeping Rules

USA - June 12 2017 On May 23, 2017, the Commodity Futures Trading Commission (CFTC) unanimously approved proposed amendments to the recordkeeping obligations set forth...

Andrew E. Nelson, Michele Ilene Ruiz, Michael S. Sackheim, Nathan A. Howell.


2017 Update for Investment Advisers

USA - February 17 2017 Investment advisers registered with the Securities and Exchange Commission (SEC) have certain annual requirements under the Investment Advisers Act...

Laurin Blumenthal Kleiman, Jonathan B. Miller, Kara J. Brown, Mark D. Whatley, Mark Borrelli.


Important Annual Requirements; SEC Exam Priorities for 2017; Recent SEC Enforcement Initiatives

USA - February 13 2017 Investment advisers registered with the Securities and Exchange Commission (SEC) have certain annual requirements under the Investment Advisers Act...

Laurin Blumenthal Kleiman, Jonathan B. Miller, Kara J. Brown, Mark D. Whatley, Mark Borrelli.


CFTC Proposes Amendments to Regulation 1.31

USA - February 8 2017 On January 12, 2017, the Commodity Futures Trading Commission (CFTC) unanimously approved proposed amendments (Proposal) to the recordkeeping...

Michele Ilene Ruiz, Michael S. Sackheim, Nathan A. Howell.


2016 Update for Investment Advisers

USA - January 29 2016 Investment advisers registered with the Securities and Exchange Commission (SEC) have certain annual requirements under the Investment Advisers Act of...

Laurin Blumenthal Kleiman, Jonathan B. Miller, Kara J. Brown, Mark D. Whatley, Mark Borrelli.