USA - December 7 2022
On November 2, 2022, the SEC voted to propose amendments to rules regarding liquidity risk management programs and swing pricing for open-end funds…
Nicholas A. Portillo, Nathaniel Segal, Jacob C. Tiedt
USA - November 10 2022
On October 12, 2022, the SEC adopted amendments to modernize certain requirements for broker-dealers, security-based swap dealers (SBSDs) and major…
Nathaniel Segal, David W. Soden, Jacob C. Tiedt
USA - November 10 2022
On October 13, 2022, the SEC staff issued guidance affirming that, under its fiduciary duty, an investment adviser may consider factors relating to…
Nathaniel Segal, Jacob C. Tiedt
USA - October 12 2022
On September 19, 2022, the SEC's Division of Examinations issued a risk alert highlighting the staff's observations about review areas for upcoming…
Nathaniel Segal, Jacob C. Tiedt
USA - October 12 2022
On September 27, 2022, the SEC announced the settlement of administrative proceedings brought against 15 broker-dealers and one affiliated investment…
Nicholas A. Portillo, Nathaniel Segal, Jacob C. Tiedt