Guidance Update

News & Analysis as of

SEC Division of Investment Management Issues Guidance Update Relating to Rule 204A-1 of the Investment Advisers Act

In June, the Securities and Exchange Commission’s Division of Investment Management issued a Guidance Update relating to Rule 204A-1 under the Investment Advisers Act of 1940. Rule 204A-1 provides that a registered investment...more

EEOC Modifies Pregnancy Bias Guidance to Reflect the Supreme Court’s Ruling in Young v. United Parcel Service, Inc.

On March 25, 2015, the United States Supreme Court ruled in favor of Peggy Young, a UPS driver who claimed she was discriminated against on the basis of pregnancy when she was denied a workplace accommodation that was made...more

EEOC Updates Guidance On Accommodating Pregnant Workers

The Equal Employment Opportunity Commission has issued revised pregnancy discrimination guidance setting forth a framework for assessing how far employers must go in accommodating pregnant employees, following the Supreme...more

SEC Issues Guidance on Personal Securities Transactions Reporting

On June 26, 2015, the Securities and Exchange Commission (SEC) issued a guidance update on Rule 204A-1 of the Investment Advisers Act of 1940 (Advisers Act). Rule 204A-1 requires, among other things, certain advisory...more

EEOC’s Revised Pregnancy Guidance: Now, Just Barely More Flexible!

Last Thursday, the Equal Employment Opportunity Commission issued its amended guidance on pregnancy discrimination and accommodation in light of the U.S. Supreme Court decision in Young v. UPS, issued in March 2015. The...more

SEC Staff Provides Guidance to Clarify Application of Rule Requiring Reporting of Personal Securities Transactions by Investment...

In a June 2015 Guidance Update, the staff of the Division of Investment Management clarified how the code of ethics reporting rules apply to investment advisers. Current rules require certain advisory personnel who...more

EEOC Issues New Guidance Concerning Pregnancy Discrimination and Accommodations

On June 25, 2015, the U.S. Equal Employment Opportunity Commission issued Enforcement Guidance on Pregnancy Discrimination and Related Issues (the Guidance). As stated on the EEOC’s website, the Guidance supersedes the EEOC’s...more

EEOC Issues Updated Pregnancy Discrimination Guidance

Updates Reflect Recent Young v. UPS Supreme Court Decision - WASHINGTON -- The U.S. Equal Employment Opportunity Commission (EEOC) today issued an update of its Enforcement Guidance on Pregnancy Discrimination and...more

EPA Announces Availability for Comment of OCSPP Harmonized Test Guidelines

On June 17, 2015, the Environmental Protection Agency (EPA) published a notice announcing the availability for comment of three draft revised 810 series test guidelines developed by the Office of Chemical Safety and Pollution...more

Inside Insight: How the FTC Approaches Data Breach Investigations

A data breach hurts in a myriad of ways – the tarnished image of the breached company, the diminished consumer trust, and the bottom-line impact of remedial costs and lost business. The last thing a company already reeling...more

OIG issues additional guidance to healthcare boards regarding compliance efforts and oversight

The Office of the Inspector General (OIG) of the U.S. Department of Health and Human Services, together with leading legal, audit and compliance collaborators, recently issued the fourth in a series of publications providing...more

How Transparent is Your Supply Chain? California AG Issues Guidance

After almost five years since passage, California’s Attorney General has finally produced guidance on The California Transparency in Supply Chains Act of 2010. With the Attorney General at last weighing in (the Resource Guide...more

U.S. SEC Division of Investment Management Issues Cybersecurity Guidance

The Division of Investment Management (Division) of the U.S. Securities and Exchange Commission (SEC) issued a Guidance Update on April 28, 2015 (Guidance) relating to the cybersecurity of registered investment companies and...more

"CFTC Issues Revised Embedded Volumetric Optionality Interpretation for Swaps"

On May 12, 2015, the Commodity Futures Trading Commission (CFTC) issued revised interpretive guidance for forward contracts with embedded volumetric optionality (EVO). In 2012, the CFTC and Securities and Exchange Commission...more

SEC Clarifies “Voting Equity Securities” for Purposes of the Bad Actor Rules

The Securities and Exchange Commission (the “SEC”) recently released additional guidance on the definition of “voting equity securities” as applied to the bad actor disqualification rules under Rule 506(d) of the Securities...more

SEC Division of Investment Management Issues Cybersecurity Guidance for Investment Funds and Advisers

The U.S. Securities and Exchange Commission’s (“SEC”) Division of Investment Management (“Division”) recently released a Guidance Update (“Guidance”) highlighting the importance of cybersecurity for registered investment...more

Blog: Updated Guide to Privacy and Security of Electronic Information Released by ONC and OCR

The Office of the National Coordinator for Health Information Technology (ONC) in collaboration with the Office for Civil Rights (OCR) recently released its new updated guidance for the privacy and security of electronic...more

EPA Issues Interim Guidance Concerning Antimicrobial Data Requirements

On Thursday, April 30, 2015, the U.S. Environmental Protection Agency (EPA) issued interim guidance that it intends to clarify its toxicology data requirements for antimicrobial pesticides used on food contact surfaces....more

Cybersecurity Guidance for Registered Investment Advisers

On April 28, the Securities and Exchange Commission (SEC) released a Guidance Update addressing the importance of cybersecurity and the steps registered investment advisers (and registered investment companies) may wish to...more

ONC-HIT Releases Updated Guide for Privacy and Security of Electronic Health Information

The Office of the National Coordinator for Health Information Technology (ONC-HIT) released version 2.0 of its Guide to Privacy and Security of Electronic Health Information (the Guide). While the Guide clearly states that it...more

SEC Publishes Cybersecurity Guidance for Registered Investment Companies and Advisers

On April 30, the SEC’s Division of Investment Management issued IM Guidance Update No. 2015-02 which highlights measures that investment companies and advisers may wish to consider in addressing cybersecurity risks....more

Cybersecurity Guidance for Registered Investment Advisers

On April 28, the Securities and Exchange Commission (SEC) released a Guidance Update addressing the importance of cybersecurity and the steps registered investment advisers (and registered investment companies) may wish to...more

Revised Guidance for Privacy and Security of Electronic Health Information Released by Government

The Office of the National Coordinator for Health Information Technology (“ONC”) has released a revised Guide to Privacy and Security of Electronic Health Information (the “Guide”), which is intended to be a resource for...more

Locke Lord QuickStudy: Investment Advisers Should “Beef Up” Cybersecurity Strategies - SEC Issues Updated Guidance

Registered investment advisers should periodically assess their cybersecurity vulnerabilities, create strategies to respond, and make sure they are making the strategies work. ...more

SEC Staff Issues Update Guidance Regarding Cybersecurity

Recently, the Staff of the Division of Investment Management of the Securities and Exchange Commission (the “Staff”) issued updated Guidance that highlights the importance of cybersecurity of registered investment funds and...more

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