SEC to Host Roundtables on Crypto and AI, AI Also Discussed at Investor Advisory Committee
The SEC is holding public roundtables in March on crypto assets and artificial intelligence.
March 06, 2025
IAA Tracker – 6 Weeks into the Trump Administration
The IAA highlights the developments for investment advisers to help members keep track of the fast-moving changes under the new administration.
March 04, 2025
SEC Commissioner Peirce Outlines New Approach to Crypto Regulation
SEC Commissioner Hester Peirce issued her first policy statement since being appointed to lead the Commission’s new Crypto Task Force.
February 07, 2025
Tags: Cryptocurrency, Hester Peirce
IAA Presents Top Regulatory Priorities for the New Administration
The IAA’s top recommendations for regulatory and policy actions that the SEC should prioritize in the first days of the new administration.
January 31, 2025
Tags: AML, Custody, Marketing, Pay-to-Play
Form PF Amendments Compliance Date Extended to June 12, 2025
Updated Form PF filing dates for quarterly hedge fund filers and annual filers.
January 31, 2025
Tags: Hedge Funds, orm PF, Private Equity, Private Funds
SEC staff issues Fund Names Rule FAQs covering new 2023 rule amendments.
January 14, 2025
Tags: Mutual Funds, Names Rule
SEC Committee Discusses Arbitration, Alternative Assets, and Finfluencers
The SEC’s Investor Advisory Committee discussed arbitration clauses, retail investor access to alternative assets, and financial influencers.
December 13, 2024
Tags: Arbitration, Finfluencers, Retail
A federal court in Texas recently issued a preliminary injunction prohibiting the government from collecting beneficial ownership information reports under the Corporate Transparency Act.
December 06, 2024
Tags: BOIR, CTA, Treasury Department
Problematic SEC Dealer Rule Vacated
The SEC’s problematic rule has been fully vacated by a Texas district court.
November 22, 2024
Tags: Trading
Takeaways from SEC Compliance Outreach Program
Detailed takeaways from the SEC’s 2024 Compliance Outreach Program for investment advisers and investment companies.
November 11, 2024
Tags: AML, Artificial Intelligence , Cybersecurity, Digital Assets, Fiduciary, Marketing Rule, Private Funds, Trading