SEC Finalizes Rules on Public Companies’ Emissions and Climate Risk
The SEC passed a controversial new rule requiring public companies to disclose material climate risks and greenhouse gas emissions.
March 06, 2024
Tags: Climate, ESG, GHG Emissions
NIST Releases New Cybersecurity Framework
New cybersecurity framework, intended to guide all types of organizations, was published by the National Institute of Standards and Technology (NIST).
February 26, 2024
Tags: Privacy, Cybersecurity, NIST
New AML Proposal for Investment Advisers – What You Need to Know
The Treasury Department recently released a proposal outlining potential anti-money laundering (AML) regulations for investment advisers.
February 14, 2024
Tags: AML, Treasury Department
Important Changes to California’s Non-Compete Laws
Employers with California-based employees hired after January 1, 2022, must notify them by February 14, 2024, that existing non-compete clauses are unenforceable under new state laws.
February 08, 2024
Tags: California, Employment, Non-Compete
The SEC has adopted final rules on what it means to be a “dealer,” significantly narrowed in response to IAA advocacy, but the adopted framework remains extremely problematic.
February 07, 2024
Tags: Trading
Here’s What You Need to Know About the Busy DOL Regulatory Agenda
The Department of Labor announces updates on key retirement and worker classification regulations, including finalized procedures for exemption applications, auto-portability of retirement proposal, reporting review, and a new independent contractor rule.
January 29, 2024
House Ways and Means Committee Overwhelmingly Advances Bipartisan Tax Package
The House Ways and Means Committee advanced the Tax Relief for American Families and Workers Act but full House and Senate support are uncertain.
January 26, 2024
Tags: House Ways and Means, Taxes
DOL’s Proposed Changes to Fiduciary Rule and Rollover Exemption – What You Need to Know
The IAA has recommended changes to the DOL’s proposed new Investment Advice Definition and related exemption PTE 2020-02.
January 02, 2024
Tags: DOL, ERISA, Fiduciary, PTE 2020-02
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
Tags: Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management
The SEC’s Small Business Capital Formation Advisory Committee met to discuss the definition of “accredited Investor” and diversity in the investment process.
December 01, 2023
Tags: Accredited Investor, Diversity