Four Key Considerations Since SEC Amended Form PF -
In early May, the Securities and Exchange Commission (SEC) adopted a final rule amending Form PF, the confidential reporting form for certain SEC-registered investment...more
6/14/2023
/ Biometric Information Privacy Act ,
CFTC ,
Climate Change ,
Crypto Exchanges ,
Cryptoassets ,
Data Privacy ,
Digital Assets ,
Environmental Social & Governance (ESG) ,
EU ,
False Claims Act (FCA) ,
New Legislation ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Texas ,
UK ,
Whistleblowers
BROKER-DEALER -
SEC Issues Amendments, Seeks Public Comment on Holding Foreign Companies Accountable Act -
On March 24, the Securities and Exchange Commission adopted interim final amendments to implement...more
3/29/2021
/ Bank of England ,
Coronavirus/COVID-19 ,
EU ,
European Securities and Markets Authority (ESMA) ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
NFA ,
Securities and Exchange Commission (SEC) ,
UK ,
UK Brexit ,
Whistleblowers
BROKER-DEALER -
SEC Issues No Action Letter on Treatment of Reserved Powers Trust as Non-US Person by Non-US Investment Adviser for Registration Exemption -
On March 5, the Securities Exchange Commission’s Division of...more
SEC/CORPORATE -
SEC Proposes Rule 144 Tacking Amendments -
On December 22, 2020, the Securities and Exchange Commission voted to propose amendments to Rule 144 under the Securities Act of 1933 (the Securities Act)...more
BROKER-DEALER -
SEC Adopts Rules to Modernize Infrastructure for NMS Market Data -
On December 9, the Securities and Exchange Commission adopted final rules that aim to modernize the infrastructure related to the...more
SEC/CORPORATE -
SEC Adopts Amendments to MD&A and Other Financial Disclosures -
On November 19, the Securities and Exchange Commission announced that it adopted amendments (the Amendments) to certain financial...more
BROKER-DEALER -
FINRA Requests Comments for Proposed Amendments to FINRA Rule 2165 -
On October 5, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-34, which requests comment on proposed...more
SEC/CORPORATE -
SEC Amends the Definitions of “Accredited Investor” and “Qualified Institutional Buyer” -
On August 26, the Securities and Exchange Commission adopted amendments to the definitions of “accredited...more
SEC/CORPORATE -
SEC Division of Corporation Finance Issues Additional Disclosure Guidance Related to COVID-19 Pandemic -
On June 23, the Division of Corporation Finance (the Division) of the Securities and Exchange...more
6/29/2020
/ CFTC ,
EU ,
False Claims Act (FCA) ,
FDIC ,
HM Treasury ,
NFA ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
UK ,
UK Brexit ,
Volcker Rule