The Securities and Exchange Commission, on October 12, 2022, adopted amendments to its books and records electronic storage requirements for broker-dealers and certain security-based swap entities (“SBSEs”). The final rule...more
On May 25, 2022, the Securities and Exchange Commission (the SEC) proposed rule and form amendments that, if adopted, would require specific, additional disclosures regarding environmental, social, and governance (ESG)...more
U.S. regulation of money managers, including non-U.S. managers, and the funds they manage is a complex regime that has changed significantly since the implementation of the Dodd-Frank Reform and Consumer Protection Act of...more
6/18/2015
/ Broker-Dealer ,
Capital Formation ,
Dodd-Frank ,
Exemptions ,
Financial Regulatory Reform ,
Foreign Investment Fund ,
Investment Adviser ,
Investment Management ,
JOBS Act ,
Licensing Rules ,
Volcker Rule