Compliance Perspectives: Rolling Out New Compliance Initiatives
On March 14, 2025, the Securities and Exchange Commission (SEC) issued the following press release (Release) to extend compliance with the amendments (Amendments) to Rule 35d-1 (Names Rule) under the Investment Company Act of...more
The New York Retail Worker Safety Act (S8358B/A8947C) has been signed into law and the effective date of March 3, 2025, is fast approaching. Meanwhile, there have been some discussions of a possible amendment before the law...more
In April 2023, the SEC re-proposed amendments to Exchange Act Rule 3b-16 to expand the definition of what it means to be an exchange. When the SEC initially proposed these amendments in January 2022, there were zero direct...more
With the September 17, 2023 effective date for New York’s new pay range disclosure requirements approaching, state lawmakers recently amended the law to clarify the scope of remote jobs to which the law applies and to relieve...more
On November 2, 2022, the U.S. Securities and Exchange Commission (“SEC”), by a vote of 3-2, proposed amendments to rules under the Investment Company Act of 1940 that would modify the existing liquidity risk management...more