Aligning Business Goals with Legal Strategies Amid Regulatory Change – Speaking of Litigation Video Podcast
Predictions regarding the 2023 CRA Rule and Section 1071 and how to prepare for expected developments
Early Days of the Trump Administration: Impact on the CFPB — The Consumer Finance Podcast
2024 Payments Year in Review: CFPB and FTC Regulatory Trends – Part Two — Payments Pros – The Payments Law Podcast
FCRA Regulatory Year in Review — FCRA Focus Podcast
The Congressional Review Act – A Critical Tool for the New Administration
#WorkforceWednesday®: NLRB’s Expanding Power - Pushback and Legal Challenges Ahead - Employment Law This Week®
Cannabis Law Now Podcast: What’s Next for Schedule III Marijuana
Consumer Finance Monitor Podcast Episode: Reasons Why the CFPB Should Deny the Petition for Rulemaking on Post-Dispute Consumer Arbitration Agreements
AD Nauseam: Junk Fees Will Keep Us Together
CFPB's Rulemaking Under the FCRA (Part 3) – Crossover Episode With FCRA Focus Podcast
PLI's inSecurities Podcast - The Dangers of Regulation by Enforcement
CFPB's Rulemaking Under the FCRA – Crossover Episode With FCRA Focus Podcast - The Consumer Finance Podcast
CFPB's Larger Participant Rule for Consumer Payments - The Consumer Finance Podcast
Quick Takeaways From the 2024 Proposed Hospice Wage Index Rule
State AG Pulse | State AGs and Feds: The Dynamics of Influence & Collaboration
New Trends in How the CFPB Gathers Information - The Consumer Finance Podcast
State AG Pulse | Attorneys General as State Policymakers: The NY Model
Paredes on SEC Policies & Priorities
Podcast: 2023 Health Policy Outlook - Diagnosing Health Care
FINRA previously announced in Regulatory Notice 25-04 that it is launching a broad review to modernize its rules regarding member firms and associated persons and identified the modern workplace as its area of initial focus....more
On April 8, 2025, Acting SEC Chairman Mark T. Uyeda gave a speech signaling that the SEC may revisit the current minimum assets under management (“AUM”) threshold for federal registration, potentially reducing the number of...more
FINRA proposes a new rule to simplify requirements in Rules 3270 and Rule 3280, aiming to reduce unnecessary burdens. The structure of Proposed FINRA Rule 3290 requires prior written notice for investment-related activity...more
On Friday, March 14, in Regulatory Notice 25-05, the Financial Industry Regulatory Authority (FINRA) proposed a new rule to address when registered individuals engage in activities away from their member firms and when...more
On February 7, 2025, the SEC issued an order postponing compliance requirements with Rule 13f-2 under the Securities Exchange Act and reporting requirements on Form SHO. As a result, initial Form SHO reports from...more
Gary Gensler’s tenure as SEC chair can be remembered for an impressive number of rule proposals, many of which encountered vehement industry opposition or were challenged in court, struck down, or stayed....more
Who may be interested: Registered Investment Companies; Compliance Officers - Quick Take: The staff of the Division of Investment Management (Staff) of the SEC recently issued responses to frequently asked questions (FAQs)...more
On 8 January 2025, the staff of the Division of Investment Management of the US Securities and Exchange Commission (the SEC) released an updated set of Frequently Asked Questions (the FAQs) related to the amendments to Rule...more
As a reminder, the Securities and Exchange Commission (SEC) and the National Association of Private Fund Managers (NAPFM) and the other Petitioners in the Private Funds Rules Litigation1 requested that the three-judge panel...more
The House Committee on Financial Services passed the Improving Disclosure for Investors Bill of 2023 on April 26, 2023 with bipartisan support. If passed by Congress and signed into law, the bill could alter the regulatory...more
Monday, the U.S. Securities and Exchange Commission (“SEC”) announced that it will reopen the public comment period on its proposed rules relating to private fund advisers. The comment period will now remain open until 30...more
On Friday, June 11, the Securities and Exchange Commission (SEC) filed its Agency Rule List for Spring 2021 with the Office of Management and Budget. The Agency Rule List gives clarity to when companies can expect to see...more
The U.S. Securities and Exchange Commission (SEC or the Commission) on December 22, 2020, amended the main advertising rule under the Investment Advisers Act of 1940 (the Advisers Act) as part of a rulemaking package...more
On August 26, 2020 the Securities Exchange Commission (SEC) announced the adoption of amendments to expand the definition of “accredited investor” and “qualified institutional buyer”. The amendments, published in the Federal...more
On January 30, 2020, the SEC issued guidance on the use of key performance metrics for public companies discussing their financial results and proposed amendments to certain financial reporting requirements. The published...more
On January 30, 2020, the Securities and Exchange Commission (SEC) announced its proposal to amend certain financial disclosure requirements in Regulation S-K for the purpose of eliminating duplicative disclosures and...more
The SEC issued documents on January 30, 2020, regarding management discussion and analysis (MD&A) and other disclosures. ...more
SEC Proposes to Update Accredited Investor Definition to Increase Access to Investments - On December 18, 2019, the Securities and Exchange Commission (SEC) proposed amendments to the definition of “accredited investor” in...more
In this issue, we summarize regulatory, litigation and industry developments from October 2019 to early January 2020 impacting the investment management sector, including SEC action on use of derivatives by registered...more
In his testimony in Congress, Securities and Exchange Commission Chair Jay Clayton provided an update on the rulemaking work undertaken by the SEC during the fiscal year and provided updates on the SEC’s priorities. ...more
The Securities and Exchange Commission (the “Commission” or the “SEC”), on November 4, approved the publication of a substantial release (the “Release”) proposing significant amendments to the rules under the Investment...more
The Securities and Exchange Commission (the “Commission” or the ”SEC”), on November 4, approved the publication of a substantial release (the “Release”) proposing significant amendments to the rules under the Investment...more
SEC Adopts ETF Rule - On September 25, 2019, the Securities and Exchange Commission (SEC) unanimously adopted Rule 6c-11 under the 1940 Act to modernize the regulation of exchange-traded funds by establishing a clear and...more
In a very unusual lawsuit, attorneys general from seven states and the District of Columbia recently sued the SEC, and its chair, Jay Clayton, for declaratory and injunctive relief seeking to block the effectiveness of...more
The Securities and Exchange Commission (the “SEC”) on June 5, 2019 released an interpretation of the standard of conduct required by the Investment Advisers Act of 1940 (the “Advisers Act”) of investment advisers as...more