SEC Announces 2027 Examination Priorities
The SEC’s Division of Examinations has released its FY 2027 examination priorities, highlighting continued scrutiny of investment advisers’ fiduciary obligations, conflicts of interest, compliance programs, cybersecurity, and emerging technologies.
October 23, 2026
Updated SEC Agenda Includes Significant Reproposals
Federal agencies issue Spring Reg Flex rulemaking agendas, including reproposals of several SEC rules.
July 11, 2024
SEC Continues Ambitious Agenda, AML Proposal for Advisers Likely
Federal agencies have issued their Fall Reg Flex rulemaking agendas, reflecting a continuation of ambitious agendas.
December 08, 2023
Say-On-Pay Proxy Voting Reporting Requirements for Form 13F Filers
This article discusses the new requirements for institutional managers to file Form N-PX to report say-on-pay proxy votes beginning in 2024.
July 20, 2023
House Financial Services Committee Kicks Off “ESG Month”
House Financial Services Committee Republicans have dubbed July “ESG Month,” and have scheduled multiple ESG-focused hearings that are expected to culminate in a markup of ESG legislation addressing proxy advisors, asset managers, disclosure requirements, and other issues.
July 14, 2023
SEC Pivots to Finalizing Rules, Other Proposals Coming
Federal agencies issue Spring Reg Flex agendas, reflecting continuation of ambitious agendas.
June 15, 2023
Few Big Changes in New Regulatory Agendas, Ambitious Rulemakings to Persist
Federal agencies issue Fall Reg Flex agendas, reflecting continuation of ambitious agendas; Custody Rule and anti-money laundering for advisers still planned.
January 09, 2023
SEC Finalizes Say-on-Pay Rules, Proposes New Registered Fund Liquidity Rules
Institutional managers that vote proxies on say-on-pay (executive compensation) votes will be required to file Form N-PX in 2024, including the number of shares loaned but not recalled and, therefore, not voted by the manager. The SEC also proposed significant amendments to the liquidity risk management program rule for registered funds and related reporting and disclosure.
November 03, 2022
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL
