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
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
8/9/2024
/ Administrative Law Judge (ALJ) ,
AML/CFT ,
Chevron Deference ,
Cybersecurity ,
Department of Labor (DOL) ,
Fiduciary Rule ,
Financial Institutions ,
FinCEN ,
Inspections ,
Jury Trial ,
Pilot Programs ,
Prohibited Transactions ,
Proposed Amendments ,
Proposed Rules ,
PTE 84-24 ,
PTEs ,
Regulatory Agenda ,
Regulatory Reform ,
Rule 2210 ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Seventh Amendment ,
Statutory Authority ,
Statutory Interpretation
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