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Investment Adviser › Proprietary Trading

ArentFox Schiff

2024 Examination Priorities for Investment Advisers from SEC Division of Examinations

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The US Securities and Exchange Commission (SEC) Division of Examinations recently released its 2024 Examinations Priorities, a yearly report that provides insight into the Division’s areas of focus to improve compliance,...more

Goodwin

New York CRPTO Bill Would Prohibit Many Digital Asset Activities and Impose Sweeping Market Structure Changes

Goodwin on

On May 5, 2023, New York Attorney General Letitia James released a bill for consideration by the New York State Legislature that would implement comprehensive and far-reaching regulation of digital asset activities in the...more

Stinson LLP

Community Banks Set to be Excluded from the Volcker Rule

Stinson LLP on

Last week, federal regulators finalized a rule to exempt community banks from proprietary trading at banks. In addition, the revised rule will also allow certain hedge funds or private equity funds to share the same name or...more

Goodwin

Federal Regulators Issue Volcker Rule FAQ Addressing Investment Fund Seeding Periods

Goodwin on

The Volcker rule generally prohibits banking entities from engaging in proprietary trading and from sponsoring and/or investing in certain types of “covered” investment funds. The implementing regulation that the Agencies...more

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