On April 16, 2025, the Securities and Exchange Commission (SEC) extended the compliance dates for the amendments to Form N-PORT. The SEC previously adopted amendments to Form N-PORT to require more frequent reporting of monthly portfolio holdings and related information,
On March 12, 2025, the SEC’s Division of Corporation Finance (the “Division”) issued a No Action Letter regarding the verification of accredited investor status for potential investors in a Rule 506(c) offering under Regulation D which may streamline verification requirements
FINRA has requested comments on a proposed rule to simplify and ease members’ duties related to outside activities of associated persons. The rule would merge existing Rules 3270 and 3280, and cover fewer outside activities and transactions. However, the
On March 14, 2025, the Securities and Exchange Commission (SEC) extended the compliance dates for the amendments to Rule 35d-1 (the Names Rule) under the Investment Company Act of 1940 (1940 Act). The Names Rule requires that a registered investment
The United States Securities and Exchange Commission – divided along political lines– sent to the trash heap a 15-year-old policy allowing its Director of Enforcement to approve new investigations as well as the issuance of subpoenas. See Delegation of Authority
A complimentary webinar presented by ETF BILD ProjectThursday, March 6, 202511:00 a.m. – Noon ETETF BILD is honored to have Nandini Sukumar, CEO, World Federation of Exchanges and Kirsten Wegner, CEO, Index Industry Association join us to discuss
While the Philadelphia Eagles’ decisive 40-22 win over the Kansas City Chiefs in Super Bowl LIX is still grabbing headlines, the biggest winner of this year’s Big Game wasn’t a team — it was the National Football League (NFL) itself.
From our SmartTrade Group at Thompson Hine!
President Trump issued the America First Investment Policy Memorandum on February 21, 2025 https://www.whitehouse.gov/presidential-actions/2025/02/america-first-investment-policy/ proclaiming that the United States “is committed to maintaining the strong, open investment environment that benefits our economy and
The administration announced Thursday that it replaced the unit responsible for many of the SEC’s crypto registration suits with a new fraud-focused unit that will take a broader review of “cyber and emerging technologies.”
The Cyber and Emerging Technologies Unit
This week, the White House issued an executive order limiting the autonomy of independent agencies, including the SEC, by requiring them to submit draft regulations for presidential review. The stated purpose of the Ensuring Accountability for All Agencies executive order