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
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
2/11/2025
/ Anti-Money Laundering ,
Cryptocurrency ,
Cybersecurity ,
Digital Assets ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Legislative Agendas ,
Regulatory Agenda ,
Regulatory Oversight ,
Regulatory Reform ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Trump Administration
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
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