Article 12 Jun 2024 Fifth Circuit Vacates SEC Rule Regulating Private Funds Advisers United States Finance
Article 28 May 2024 SEC Adopts Significant Cybersecurity Amendments To Regulation S-P United States Technology
Article 27 May 2024 SEC And FinCEN Propose Rule Requiring Investment Advisers To Enact Customer Identification Programs United States Commercial
Article 15 May 2024 SEC Issues Risk Alert Regarding Compliance With Rule 206(4)-1, The Marketing Rule United States Media & IT
Article 27 Mar 2024 SEC Takes Action Against 'AI Washing,' Fines Two Investment Advisers For Misrepresenting Artificial Intelligence Use Worldwide Technology
Article 09 Aug 2023 SEC Proposes Rules To Address Conflicts Of Interest In The Use Of AI By Investment Advisers And Broker-Dealers United States Technology
Article 30 Mar 2023 SEC Proposes Data Breach Notification And Incident Response Requirements United States Privacy
Article 31 Oct 2022 SEC Proposes Oversight Requirements For Services Outsourced By Investment Advisers United States Commercial
Article 08 Mar 2022 SEC Proposes New Rules Aimed At Increasing Short Sale Transparency United States Commercial
Article 03 Nov 2021 OFAC Issues Sanctions Compliance Guidance For Virtual Currency Industry United States International
Article 02 Jul 2021 SEC Increases Slightly ‘Qualified Client' Dollar Amount Thresholds United States Finance
Article 02 Dec 2020 Second Circuit Addresses Disgorgement Of Short-Swing Profits By Hedge Funds And Their Investment Advisers United States Finance
Article 02 Oct 2020 OCIE Warns Of Increased ‘Credential Stuffing' Cyberattacks On Investment Advisers, Broker-Dealers United States Commercial