Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
5/12/2025
/ Broker-Dealer ,
Cryptocurrency ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
New Guidance ,
New Rules ,
Regulatory Reform ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Stablecoins ,
Technology
On April 1, 2025, the First Circuit Court of Appeals vacated a nearly $95 million judgment against our client Commonwealth Financial Network related to the sufficiency of Commonwealth’s revenue-sharing disclosures. The First...more
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
4/9/2025
/ Broker-Dealer ,
Comment Period ,
Cryptocurrency ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Investment Management ,
Proposed Rules ,
Regulatory Reform ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
3/7/2025
/ Blockchain ,
Broker-Dealer ,
Corporate Financing ,
Corporate Governance ,
Cryptoassets ,
Cryptocurrency ,
Cybersecurity ,
Digital Assets ,
Enforcement Actions ,
FinTech ,
Investment ,
Investment Adviser ,
Regulatory Agenda ,
Securities and Exchange Commission (SEC)
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
1/13/2025
/ Anti-Money Laundering ,
Bank Secrecy Act ,
Beneficial Owner ,
Broker-Dealer ,
Corporate Transparency Act ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
FinCEN ,
Investment Adviser ,
Investment Firms ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
12/6/2024
/ Broker-Dealer ,
Comment Period ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Investment Adviser ,
Model Rules ,
NASAA ,
NSMIA ,
Proposed Amendments ,
Proposed Regulation ,
Regulatory Agenda ,
Regulatory Reform ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
State and Local Government
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
11/12/2024
/ Broker-Dealer ,
Digital Assets ,
Enforcement ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Investment ,
Investment Adviser ,
NASAA ,
NYSE ,
Regulatory Agenda ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Technology Sector
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
9/11/2024
/ Anti-Money Laundering ,
Broker-Dealer ,
Cryptoassets ,
Cryptocurrency ,
Environmental Social & Governance (ESG) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Investment Management ,
Regulatory Agenda ,
Regulatory Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC)
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
7/9/2024
/ Appeals ,
Broker-Dealer ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Services Industry ,
Investment ,
Investors ,
Registration Requirement ,
Regulation S-P ,
Regulatory Requirements ,
SEC Examination Priorities ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Securities Regulation ,
Statutory Authority ,
Vacated
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
5/9/2024
/ Artificial Intelligence ,
Books & Records ,
Broker-Dealer ,
Department of Labor (DOL) ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement Actions ,
FinCEN ,
Investment Adviser ,
Investors ,
Policies and Procedures ,
Prohibited Transactions ,
Proposed Rules ,
PTEs ,
Recordkeeping Requirements ,
Regulatory Agenda ,
Retirement Plan ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Technology
Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the previous month that are of interest to...more