Article
29 Dec 2025
Marketing Rule Under The Microscope: New SEC Exam Findings
RANKINGS
This author falls within the Top 20% for their listed topics and industry categories. Based on Mondaq users readership, this author is ranked as VERY POPULAR in United States
AUTHORS CONTENT
Article
23 Dec 2025
SEC Extends Relief Allowing Brokers To Rely On Advisers For AML Compliance
Article
23 Dec 2025
Speech By Director Of Division Of Investment Management Signals Key Priorities
Article
22 Dec 2025
SEC Risk Alert On The Advisers Act Marketing Rule
Article
22 Dec 2025
New SEC Cybersecurity Rules Begin To Take Effect
Article
19 Dec 2025
Pay Attention To Your Orphans
Article
26 Nov 2025
FINRA Case Involving Gifts And Entertainment
Article
26 Nov 2025
State Regulators Announce Enforcement Priorities
Article
25 Nov 2025
SEC Chairman Prioritizes Public Offering Reforms; Trump Signals Renewed Scrutiny Of Proxy Advisers
Article
31 Oct 2025
Regulatory Compliance In Leveraged ETF Sales Practices
Article
28 Oct 2025
SEC's Strategic Shift To Expand Retail Investors' Access To Private Assets Provides New Opportunities: An Overview And Key Considerations
Article
06 Oct 2025
Breaking Barriers: SEC-CFTC Host Historic Harmonization Roundtable
Article
11 Sep 2025
SEC Releases Spring 2025 Regulatory Agenda: A Re-Set For Investment Management And Heavy Emphasis On Crypto Assets
Article
12 Aug 2025
SEC Approves In-Kind Creation And Redemption For Crypto Exchange-Traded Products
Article
17 Jun 2025
SEC Seeks Feedback On "Foreign Private Issuer" Definition And Accommodations
Article
03 Jun 2025
SEC Expands The Ability Of Registered Closed-End Funds To Invest In Private Funds
Article
16 Apr 2025
April Welcomes More Flexible Co-Investment Exemptive Relief Under The Investment Company Act Of 1940
Article
10 Apr 2025
March Brings New Beginnings: SEC Approves Multi-Share Class Exemptive Relief For Private BDCs And Certain Registered Closed-End Funds
Article
03 Apr 2025
SEC Extends Compliance Dates For The 'Names Rule' Amendments
Article
11 Feb 2025
SEC Issues Updated "Names Rule" FAQ