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SEC Proposes Significant Liquidity Risk Management and Swing Pricing Reforms

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

SEC Amends Rules Regarding Preservation of Electronic Records and Recordkeeping Requirements for Broker-Dealers and Security-Based Swap Entities

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

SEC Staff Issues FAQ Relating to Adviser Consideration of DEI Factors

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

SEC Staff Issues Risk Alert on New Investment Adviser Marketing Rule

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

SEC Settles Charges against 16 Firms for Alleged Recordkeeping Failures from “Off-Channel Communications”

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