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SEC Enforcement Division to Increase Size of Crypto Assets and Cyber Unit

USA - June 10 2022 On May 3, 2022, the SEC's Division of Enforcement announced that it will seek to add 20 additional positions to its Crypto Assets and Cyber Unit…

John S. Marten, Nathaniel Segal, David W. Soden

SEC Proposes Rule and Form Amendments to Enhance Disclosures by Advisers and Funds About ESG Investment Practices

USA - June 10 2022 On May 25, 2022, the SEC issued proposed amendments to rules and reporting forms to require certain advisers and funds to provide additional…

John S. Marten, Nathaniel Segal

SEC’s ESG Proposal Includes Proposed Reporting Requirement for All Index Funds—Whether ESG-Focused or Not

USA - June 10 2022 Included within the SEC's 362-page proposing release— issued on May 25, 2022 and seeking to implement standardized ESG-related disclosures for…

John S. Marten, Nathaniel Segal

FINRA Requests Comment on Sales Practices for Complex Products—and the ICI Pushes Back

USA - June 10 2022 On March 8, 2022, FINRA published a regulatory notice reminding broker-dealers of their regulatory obligations with the sale of complex products and…

John S. Marten, Nathaniel Segal, Christina V. West

SEC Proposes Amendments to Fund Names Rule

USA - June 10 2022 On May 25, 2022, the SEC issued a proposal to amend the investment company names rule, Rule 35d-1 under the Investment Company Act of 1940, in a…

John S. Marten, Nathaniel Segal