Published works by Ben Rosenblum

Published works

• SEC and CFTC Jointly Propose Amendments to Reduce Form PF Reporting Burdens

  Cleary Enforcement Watch · April 29, 2026

  LEX-WK-ZG5R30AM
• California Diversity Reporting Law for Venture Capital Funds Pushed to 2027 (Or Later)

  Cleary Enforcement Watch · March 23, 2026

  LEX-WK-5MCYYVDF
• SEC Exam Priorities 2026 Priorities Largely Consistent: Will Approach to Deficiencies and Enforcement Referrals Change?

  Cleary Enforcement Watch · November 21, 2025

  LEX-WK-ANHCYVB1
• SEC Adopts Rules Requiring Daily Computation of Customer and PAB Reserve Requirements for Certain Broker-Dealers

  Cleary Enforcement Watch · December 30, 2024

  LEX-WK-RM01R27D
• Clearing Agency Participants Take Note: Covered Clearing Agency Resilience Rules Could Bring New Margin Requirements

  Cleary Enforcement Watch · October 31, 2024

  LEX-WK-4VEVNR3V
• SEC 2025 Exam Priorities: Private Funds, Cyber, Crypto, and New Rule Compliance

  Cleary Enforcement Watch · October 25, 2024

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• The Next Market Structure Rule Arrives: SEC Adopts New Minimum Pricing Increments and Access Fee Caps

  Cleary Enforcement Watch · September 26, 2024

  LEX-WK-ZCHKJ4D5
• SEC Announces Reforms for Internet Investment Advisers

  Cleary Enforcement Watch · April 15, 2024

  LEX-WK-NT803TAQ
• SEC Announces “AI-Washing” Cases Against Investment Advisers

  Cleary Enforcement Watch · March 19, 2024

  LEX-WK-WEBHYR74
• SEC Approves Amendments to Enhance Disclosure of Order Execution Information

  Cleary Enforcement Watch · March 19, 2024

  LEX-WK-4Y3KYZZE
• SEC Adopts New Short Position Reporting Requirements for Market Participants

  Cleary Enforcement Watch · October 25, 2023

  LEX-WK-8VE5ZFP1
• SEC Expands the Scope of Its Marketing Rule Examination Sweep – But Still No Guidance

  Cleary Enforcement Watch · June 14, 2023

  LEX-WK-HQQKJS3E
• The First Shoe Drops—SEC Adopts the Initial Amendments to Form PF

  Cleary Enforcement Watch · May 12, 2023

  LEX-WK-FXP9QEJN
• SEC Continues to Shine Light on Cyber and Data Security: Proposes Amendments to Regulation S-P

  Cleary Cybersecurity and Privacy Watch · April 13, 2023

  LEX-WK-TMW3Q4PS
• SEC Continues to Shine Light on Cyber and Data Security: Proposes Amendments to Regulation S-P

  Cleary Enforcement Watch · April 12, 2023

  LEX-WK-84HCJBQP
• SEC Proposes Major New Cybersecurity Rules for Market Participants

  Cleary Cybersecurity and Privacy Watch · March 29, 2023

  LEX-WK-196YRH98
• New Requirements for Outsourcing by Advisers: Proposed SEC Rule Brings More Obligations and Scrutiny

  Cleary Enforcement Watch · November 8, 2022

  LEX-WK-4HBTRT4M
• FINCEN’s Corporate Beneficial Ownership Reporting Rule: Significance for Investment Advisers

  Cleary Enforcement Watch · October 21, 2022

  LEX-WK-9M9G5HMC
• SEC Releases Slate of Enforcement Actions Against Advisers Related to Custody Rule Violations and Form ADV Deficiencies

  Cleary Enforcement Watch · September 20, 2022

  LEX-WK-2TB87QPW
• Form PF, Take Two: The SEC and CFTC Propose Further Amendments To Reporting Obligations For Private Equity and Hedge Funds

  Cleary Enforcement Watch · August 23, 2022

  LEX-WK-0NHF5X1T
• SEC Division of Examinations Reinforces Gensler Initiatives in its 2022 Exam Priorities

  Cleary Enforcement Watch · April 5, 2022

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• Two Recent Settlements Highlight Heightened SEC Focus on Accounting Fraud and Potential Benefits of Cooperation

  Cleary Enforcement Watch · September 8, 2021

  LEX-WK-KT1RH9A4