On July 26, 2023, the SEC issued proposed rules under the Investment Advisers Act of 1940 to narrow the types of smaller investment advisers that can register with the SEC in reliance on the Internet adviser exemption....more
On January 30, 2020, the Federal Reserve Board, FDIC, OCC, SEC and CFTC proposed amendments to certain Volcker Rule restrictions relating to banking entity activities with hedge funds or private equity funds (covered funds)....more
2/27/2020
/ Banking Sector ,
CFTC ,
Comment Period ,
Covered Funds ,
FDIC ,
Federal Reserve ,
Financial Regulatory Agencies ,
Foreign Investment Fund ,
Hedge Funds ,
OCC ,
Private Equity Funds ,
Proposed Amendments ,
SBIC ,
Securities and Exchange Commission (SEC) ,
Volcker Rule
New Rules, Proposed Rules, Guidance and Alerts -
PROPOSED RULES -
SEC Proposes Amendments to Auditor Independence Rules -
On December 30, 2019, the SEC proposed amendments to Rule 2-01 of Regulation S-X, which sets...more
2/4/2020
/ Auditor Independence ,
Auditors ,
Derivatives ,
OCIE ,
Private Funds ,
Proposed Amendments ,
Retirement Plan ,
Risk Alert ,
SEC Examination Priorities ,
SECURE Act ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Swaps