President Biden Proposes Budget Boost for SEC to Support Enforcement
President Biden’s 2023 budget provides an additional 7.5 percent for the SEC.
March 29, 2022
Tags: Budgets, SEC, SEC Enforcement
President Signs LIBOR Bill to Address Legacy Contracts
President Biden signs law for uniform process to replace LIBOR in legacy contracts, designed to prevent disruptive litigation.
March 29, 2022
Tags: Libor
FINRA Publishes Guidance on CCO Liability
FINRA recently published guidance outlining when CCOs’ role is advisory and when CCOs may be liable for failing to discharge their supervisory responsibilities.
March 29, 2022
President Biden’s Executive Order on Responsible Development of Digital Assets
President Biden has signed an Executive Order outlining a whole-of-government approach to addressing the risks and harnessing the potential benefits of digital assets.
March 29, 2022
Tags: Blockchain, Digital Assets
Birdthistle, Crenshaw Headline IAA Compliance Conference
The SEC’s Crenshaw and Birdthistle spoke at the 2022 IAA Investment Adviser Compliance Conference about cybersecurity, cryptocurrency, and other digital topics.
March 24, 2022
Tags: Caroline Crenshaw, Cybersecurity, Digital Assets, Gary Gensler, William Birdthistle
Commissioner Lee Departing the SEC
Allison Herren Lee, who has served as an SEC Commissioner since July 2019, announced that she will be stepping down from her post when her term expires in June.
March 18, 2022
Key Crypto Trends to Watch in 2022
As cryptocurrency continues to gain popularity, there are several key issues that advisers should keep in mind as they work with their clients.
March 18, 2022
Tags: Bitcoin, Blockchain, Digital Assets, Guest Column
DOL Provides Guidance on the Use of Cryptocurrencies in ERISA Plans
The DOL cautions plan fiduciaries to exercise extreme care before they consider adding a cryptocurrency option to a 401(k) plan’s investment menu for plan participants.
March 11, 2022
Tags: Digital Assets, ERISA
The IAA Joins Amicus Brief in Support of Nasdaq’s Board Diversity Rule
The IAA has signed on to a joint amicus brief in support of board diversity rules for Nasdaq-listed companies.
March 10, 2022
Tags: Diversity & Inclusion, ESG
SEC Proposes New Public Company Cybersecurity Reporting and Disclosure Rules
SEC proposes public company cybersecurity risk management, strategy, and governance and notification of material cybersecurity incidents.
March 10, 2022
Tags: Cybersecurity, Hester Pierce, SEC