Category: Legal and Regulatory Updates
Takeaways for Advisers from SEC FAQs on Regulation Best Interest
Takeaways for Advisers from SEC FAQs on Regulation Best Interest January 16, 2020 The SEC staff in the Division of Trading and Markets has issued its first round of...
January 16, 2020
Tags: Conflicts of Interest, Form CRS, Reg BI
Transitioning to a Zero Commission World: Action Steps for Advisers
Transitioning to a Zero Commission World: Action Steps for Advisers January 1, 2020 Bob Plaze Partner, Proskauer It’s a race to the bottom! That’s not usually a good thing...
January 01, 2020
Tags: Commissions, Trading, Zero Commissions
CFTC Adopts Select Amendments to CPO and CTA Registration and Reporting Rules
CFTC Adopts Select Amendments to CPO and CTA Registration and Reporting Rules November 25, 2019 The CFTC adopted rules on November 25 that codify certain no-action relief and amend...
November 25, 2019
Tags: CFTC, CPO, CTA, Dan M. Berkovitz, Family Office, Heath Tarbert, Rostin Behnam
Fall 2019 Regulatory Agendas Released; SEC Moves Accredited Investor to Short-Term Agenda, Adds Form 13F Filer Threshold November 27, 2019 Federal agencies recently released the Fall update to their...
November 27, 2019
Tags: Advertising Rule, AML, CFTC, Custody, DOL, FinCEN, Regulatory Agendas
SEC Approves FINRA’s Ease of Restrictions on Foreign Funds’ Participation in Initial Public Offerings November 25, 2019 The SEC has approved amendments to FINRA Rules 5130 and 5131, which...
November 25, 2019
SEC Reproposes Rules for Use of Derivatives by RICs, Business Development Companies
SEC Reproposes Rules for Use of Derivatives by RICs, Business Development Companies Proposal Requires New Sales Practices Rules for Due Diligence Relating to Retail Customers’ Transactions in Certain Leveraged/Inverse...
December 01, 2019
Tags: Derivatives, Mutual Funds
OCIE Issues Risk Alert on Investment Company, Money Market Fund, and Target Date Fund Compliance Issues November 25, 2019 The SEC’s Office of Compliance Inspections and Examinations (OCIE) has published...
November 25, 2019
Tags: OCIE, Investment Company, Money Market Fund, Risk Alert, Target Date Fund
Volcker Rule Agencies Propose Changes to Covered Funds Restrictions, Responding to Concerns Raised by the IAA and Others February 7, 2020 The five agencies charged with implementing the Volcker...
February 07, 2020
SEC Investor Advisory Committee: Revise, Republish Proxy Proposals
SEC Investor Advisory Committee: Revise, Republish Proxy Proposals Commissioner Roisman Addresses Criticisms in Recent Speech February 10, 2020 The SEC’s Investor Advisory Committee (IAC) responded strongly to the SEC’s...
February 10, 2020
Tags: Proxy, Proxy Advisory Firms
SEC Extends No-Action Relief for Fund Board Meetings Due to Coronavirus, Provides 45-Day Extension for Certain Corporate Filings March 4, 2020 In response to the coronavirus, the SEC’s Division...
March 04, 2020
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