The Senate Banking Committee convened on Thursday to consider the nomination of Paul Atkins, President Trump’s nominee for Chair of the Securities and Exchange Commission, along with the nominees for the Comptroller of the...more
In recent remarks at the Florida Bar's 41st Annual Federal Securities Institute and M&A Conference on February 24, 2025, SEC Acting Chair Mark Uyeda outlined his agenda for what he called a "return to normalcy" at the SEC. If...more
3/3/2025
/ Accredited Investors ,
Capital Markets ,
Disclosure Requirements ,
Investment ,
Investment Funds ,
Investors ,
Private Equity ,
Private Funds ,
Regulatory Agenda ,
Retail Investors ,
Securities and Exchange Commission (SEC)
On October 16, 2023, the Division of Examinations (the "Division") of the U.S. Securities and Exchange Commission ("SEC") released its 2024 Examination Priorities ("Annual Priorities").[1] Unlike in previous years when the...more
10/25/2023
/ Anti-Money Laundering ,
Bank Secrecy Act ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Fees ,
Investment Company Act of 1940 ,
Mutual Funds ,
Registered Funds ,
Risk Management ,
SCOTUS ,
Securities and Exchange Commission (SEC)
On September 20, 2023, the Securities and Exchange Commission (the “SEC”) voted to adopt final amendments to modernize Rule 35d-1 of the Investment Company Act of 1940, as amended (the “1940 Act”). This rule, commonly...more
10/4/2023
/ Compliance ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Investment Company Act of 1940 ,
Investment Management ,
New Amendments ,
Notice Requirements ,
Recordkeeping Requirements ,
Registered Funds ,
Registered Investment Companies (RICs) ,
Reporting Requirements ,
Securities and Exchange Commission (SEC)
On May 3, 2023, the Securities and Exchange Commission ("SEC") adopted amendments to its existing rules regarding disclosures about purchases of an issuer's equity securities by or on behalf of the issuer or an affiliated...more