REGULATORY UPDATES -
Recent SEC Leadership Changes -
The Securities and Exchange Commission (the “SEC”) announced that Megan Barbero, currently SEC Principal Deputy General Counsel, will be appointed General Counsel,...more
1/19/2023
/ 10b5-1 Plans ,
Broker-Dealer ,
Disclosure Requirements ,
Employee Retirement Income Security Act (ERISA) ,
Environmental Social & Governance (ESG) ,
ETFs ,
Final Rules ,
Insider Trading ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Proposed Rules ,
Proxy Voting ,
Regulation Best Interest ,
Securities and Exchange Commission (SEC) ,
Shareholders
REGULATORY UPDATES -
SEC Announces Leadership Changes -
Anthony (“Tony”) C. Thompson was appointed to a second term as a board member of the Public Company Accounting Oversight Board (“PCAOB”), which will run until...more
10/18/2022
/ Board of Directors ,
Diversity ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Investors ,
PCAOB ,
Proposed Amendments ,
Proxy Voting ,
Rule 14a-8 ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals
REGULATORY UPDATES -
William Birdthistle Named Director of Division of Investment Management -
On December 21, 2021, the Securities and Exchange Commission (“SEC”) announced the appointment of William A. Birdthistle as...more
1/19/2022
/ Electronic Filing ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
ETFs ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Company Act of 1940 ,
PCAOB ,
Popular ,
Proxy Voting ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC)
REGULATORY UPDATES -
SEC Leadership Changes -
On April 17, 2021, Gary Gensler was sworn into office as the Chair of the Securities and Exchange Commission (the “SEC”). Gensler served as chair of the U.S. Commodity Futures...more
7/16/2021
/ Broker-Dealer ,
Corporate Governance ,
Diversity ,
Dodd-Frank ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Company Act of 1940 ,
Popular ,
Proxy Voting ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals ,
Swap Data Repositories ,
Universal Proxy Cards
REGULATORY UPDATES -
SEC Adopts Amendments to Exemptive Applications Procedures -
On July 6, 2020, the Securities and Exchange Commission (the “SEC”) announced the adoption of rule amendments that establish an expedited...more