AI Today in 5: August 22, 2025, The Angst Episode
Conversation with Former SEC Chief Economist Dr. Jessica Wachter on Investment Management Rulemaking at the Commission – PE Pathways Podcast
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What are the Different Ways Securities Can Be Offered and Sold? (Part 2)
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What Laws Affect Securities Offerings?
Reflections on the Demise of the SEC’s Private Fund Adviser Rule – LP and GP Perspectives
The Preferred Return Podcast | Spin-outs and New Fund Sponsors
AdvisorEsq Podcast Series - Episode 8 - Executive Insights: Succeeding as a COO at an RIA Firm
SEC’s New Cyber Rules for Publicly Traded Companies — The Consumer Finance Podcast
A 2024 Economic Outlook - Troutman Pepper Podcast
PODCAST: Williams Mullen's Benefits Companion - New Federal Rule Aims to Hold Investment Advisors to a Higher Standard
PLI's inSecurities Podcast - The Dangers of Regulation by Enforcement
Cornerstone Research Experts in Focus: Jules van Binsbergen
Podcast Episode 189: Adding Context to Compliance and Color To Your Legal Practice
Top-Tier Data Centers in Underserved Markets - TAG Infrastructure Talks Podcast
ESG and SEC Enforcement in 2022
TAKE A CHANCE ON ME! PART II - Embracing the Magic of Private Placement Life Insurance and Private Placement Variable Annuities
Three Timely Benefits Items Everyone Should Know
Cutting Costs With Employee Benefit Plans (Part 4 of 5) – Retirement Plan Costs
Investment Management and Private Funds Roundtable: TALF 2020 and PPP Update
Videocast: Asset management regulation in 2020 videocast series – The annuity regulatory landscape
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments from April 2026. In April 2026: On April 7, the SEC announced its enforcement results for the fiscal year that...more
The decision to sell a registered investment adviser (RIA) is one of the most significant – and most complex – decisions an RIA owner will ever navigate, and avoiding the most common mistakes will help sellers achieve their...more
Section 205(a)(1) of the Advisers Act generally prohibits an investment adviser from entering into an investment advisory contract that charges a performance-based fee – i.e., compensation to the adviser based on a share of...more
On April 28, 2026, the Securities and Exchange Commission (SEC) issued a final order adjusting for inflation the dollar amount thresholds used to determine whether an investor qualifies as a “qualified client” in order to...more
On April 20, 2026, the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) jointly proposed amendments to Form PF, the confidential reporting form filed by certain SEC-registered...more
Key Takeaways: The SEC has increased the qualified client thresholds under Rule 205-3 effective June 29, 2026, raising the assets-under-management test to $1.4 million and the net worth test to $2.7 million. The changes...more
The June 3, 2026, deadline for "smaller entities" to comply with the 2024 amendments to U.S. Securities and Exchange Commission (SEC) Regulation S-P is fast approaching. This Holland & Knight alert provides a brief overview...more
The Israel Securities Authority (ISA) has published a new draft directive for public comments that will comprehensively regulate the activities of licensed investment advisors and marketers when providing one-off services and...more
In This Update - Covering legal developments and regulatory news for funds, their advisers, and industry participants for the quarter ended March 31. On January 22, the Securities and Exchange Commission’s (SEC) Small...more
On April 20, 2026, the US Securities and Exchange Commission (SEC) and US Commodity Futures Trading Commission (CFTC and, together with the SEC, the Commissions) jointly proposed amendments to Form PF (Proposed Amendments)...more
In April 2026, FINRA published its report titled “FINRA Forward: A Year of Progress,” which provides a recap of the regulatory changes implemented by FINRA as part of its rule modernization initiative. The report also...more
In February 2026, the Financial Industry Regulatory Authority (FINRA) proposed amendments to its Rule 2210(d)(1)(F) that would permit member firms to include performance projections and targeted returns in communications to...more
The Staff of the SEC’s Division of Investment Management issued a no-action letter on April 27, 2026 to J.P. Morgan Investment Management, Inc. (“JPMIM”) addressing the application of an existing co-investment exemptive order...more
Our Investment Funds Team examines how a Proposed Rule from the Securities and Exchange Commission and Commodity Futures Trading Commission would narrow Form PF’s reach and reduce reporting burdens for many smaller private...more
On April 27, 2026, the SEC Staff issued a no-action letter to J.P. Morgan Investment Management Inc. (“JPMIM”), an investment adviser to a large complex of registered and non-registered funds,...more
On April 20, 2026, the Securities and Exchange Commission and the Commodity Futures Trading Commission jointly proposed amendments that would significantly narrow the scope of Form PF....more
On April 20, the U.S. Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) jointly issued proposed amendments to Form PF (Proposed Amendments), the nonpublic filing required of certain...more
On April 27, 2026, the staff of the SEC’s Division of Investment Management (the “Staff”) issued a no-action letter (the “Letter”) to J.P. Morgan Investment Management Inc. (“JPMIM”) confirming that it would not recommend...more
On April 20, 2026, the US Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly proposed amendments to Form PF (the Proposing Release) that are intended to streamline reporting...more
Fund managers encounter AI tools everywhere, including in research workflows, communications, marketing, portfolio monitoring and compliance....more
On April 20, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC, and together with the SEC, the “Agencies”) proposed a comprehensive overhaul of Form PF. Form PF is the...more
On April 20, 2026, the Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) jointly proposed substantial amendments to Form PF, which would meaningfully alter the scope and nature...more
The U.S Securities and Exchange Commission (the “SEC”) and the U.S. Commodities Futures Trading Commission (the “CFTC”) have jointly proposed amendments (the “Proposed Amendments”) to Form PF....more
Recent federal court decisions vacating the Department of Labor’s (DOL) 2024 fiduciary rule have prompted a common and practical question from retirement plan service providers: Does this change affect whether we still need...more
For insurance companies and agents, the distinction between selling annuities and providing investment advice can blur unexpectedly. When annuity sales involve discussions about a client's securities portfolio or...more