Articles: 1-10 of 57
QPAM Exemption Notification Deadline - Sunday, September 15, 2024
USA - September 13 2024 On April 2, 2024, the Department of Labor (the “DOL”) finalized its amendment to the Qualified Professional Asset Manager (“QPAM”) prohibited…
Pushing Reg S-P: SEC Adopts Amendments to Modernize and Enhance Regulation S-P
USA - May 20 2024 On May 16, 2024, the Securities and Exchange Commission (“SEC”) approved amendments to Regulation S-P to address unauthorized access to or use of…
More Screen Time: SEC Adopts Amendments to Internet-Only Investment Adviser Exemption
USA - March 28 2024 On March 27, 2024, the Securities and Exchange Commission (“SEC”) announced amendments to the rule that allows internet-only investment advisers to…
Federal Judge Upholds ERISA ESG Rules
USA - December 15 2023 On September 21, 2023, a federal court in the Northern District of Texas (the “Court”) dismissed a challenge to the Department of Labor’s 2022…
SEC Adopts Rules for Public Companies and Foreign Private Issuers on Cybersecurity Risk Management and Incident Disclosures
USA - August 25 2023 On July 26, 2023, the Securities and Exchange Commission (the “SEC”) adopted new rules (the “Rules”) that will require public companies and foreign…
Recent Take-Aways Involving the Marketing Rule Sweep and Enforcement Activity
USA - August 21 2023 On June 8, 2023, the Security and Exchange Commission’s (“SEC’s”) Division of Examinations (the “Division”) published a Risk Alert (the “Alert”)[1]…
Mind your P’s and P’s - SEC Settles Enforcement Action Related to ESG Policies and Procedures
USA - January 9 2023 The Securities and Exchange Commission (the “SEC”) has again set its sights on registrants’ environmental, social, and governance (“ESG”)-related…
Investment Advisers, Mark Your Calendars: Effective Date Set for SEC's New Marketing Rule
USA - March 5 2021 The SEC’s new marketing rule for investment advisers (the “New Marketing Rule”) was published in the Federal Register today, making the effective date…
Securities Offerings Involving Interests in Real Estate Left Out of New York’s Reg D Modernization
USA - March 2 2021 In December 2020, New York adopted new rules to update its blue sky securities registration requirements as part of an ongoing effort to “streamline…
SEC Issues Final ETF Rule and Amends Form N-1A
USA - October 18 2019 The SEC recently adopted a final rule (the “ETF Rule”) designed to modernize the registration of exchange-traded funds (“ETFs”)…
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