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834 results found

Article

DLA Piper | USA | 10 Jun 2019

SEC adopts conduct rules and interpretations affecting broker-dealers and investment advisers - compliance date: June 30, 2020

Investment Management Alert Securities Enforcement Alert By: Mary Dunbar John Grady Deborah R. Meshulam Edward J. Johnsen Bradley E. Phipps Meagan

Article

DLA Piper | USA | 29 Jan 2019

Government shutdown ends; CFTC announces resumption of normal operations

Following up on yesterday's client alert, Government shutdown ends; SEC and CFTC may resume normal operations, late on the afternoon of Monday

Article

DLA Piper | USA | 28 Jan 2019

Government shutdown ends; SEC and CFTC may resume normal operations

As discussed in our January 9 client alert, SEC, CFTC implement plans for the government shutdown, and our January 16 update, Government shutdown's

Article

DLA Piper | USA | 16 Jan 2019

Government shutdown's impact on SEC expands to administrative proceedings

In our January 9, 2019, alert available here, we highlighted some of the ongoing impacts of the government shutdown on both the Securities and

Article

DLA Piper | USA | 9 Jan 2019

SEC, CFTC implement plans for the government shutdown

As the federal government shutdown enters its third week, with uncertainty as to how long it is likely to continue, the Securities and Exchange

Article

DLA Piper | USA | 2 May 2018

SEC proposes rules and interpretations to protect retail investors

As we reported in last week's Investment Management Alert, the Securities and Exchange Commission has voted to propose a package of rulemaking and

Article

DLA Piper | USA | 24 Apr 2018

SEC proposes "regulation best interest" rule package, including new disclosure form and investment adviser conduct interpretation

The Securities and Exchange Commission held an open meeting on April 18, 2018, during which the Commissioners voted 4 to 1 to release a package of

Article

DLA Piper | USA, China, Germany | 17 Jan 2018

The Financial Report - Vol 7, No 1 - Discussion and Analysis

Given that, in at least much of the country, several weeks of deep freeze are slowly ending in a thaw, we enter 2018 with renewed optimism, eyes wide

Article

DLA Piper | Global | 17 Jan 2018

The Financial Report - Vol 7, No 1 - Global Regulators

The Basel Committee on Banking Supervision published a progress report on its principles for effective supervisory colleges. The report notes that

Article

DLA Piper | USA | 17 Jan 2018

The Financial Report - Vol 7, No 1 - US Securities and Exchange Commission Developments

The SEC adopted final rules that amend certain definitions under Investment Adviser Act Rule 203(l)-1 and Rule 203(m)-1 to reflect changes made by the

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