Our Investment Services team just published its March 2024 Regulatory Update, analyzing a wide selection of federal agency enforcement actions and initiatives in Q1. You can access the articles below.
- SEC and CFTC Adopt Amendments to Form PF for Private Fund Reporting
- SEC Adopts New Rules Expanding Definition of Dealers Required to Register with the SEC
- FinCEN Proposes Rules to Address AML Risks to Advisers
- SEC Staff Issues Update to Marketing Rule FAQs
- SEC Announces Departure of William Birdthistle, Director of the Division of Investment Management, and Names Natasha Vij Greiner as New Director
- PCAOB Reopens Comment Period for NOCLAR Proposal
- SEC Settles Charges Against Adviser for Alleged Section 15(c) Violations from Failure to Disclose Index License Fee Structure to ETF’s Board
- SEC Settles Charges Against Adviser/Broker-Dealer for Alleged Whistleblower Protection Rule Violations