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In addition to the SEC providing relief and support to investment advisers, the North American Securities Administrators’ Association (NASAA) and…

On March 25, 2020, the SEC issued a new Order extending and relaxing some of the conditions pertaining to the…

On March 23, 2020, the SEC’s Office of Compliance Inspections and Examinations posted an announcement on its website that “in…

During the last week, the CFTC issued several no-action letters aimed at providing temporary relief from certain recordkeeping, operations requirements,…

The SEC has made several COVID-19 related announcements this week pertaining to investment managers that offer relief from routine regulatory…

The capacity of financial firms to comply with the upcoming go-live of SFTR reporting obligations has been critically compromised by…

The rapid expansion of the novel coronavirus and the COVID-19 pandemic has caused extreme stress if not panic throughout the…

The SEC continues to scrutinize principal and cross-trade transactions in the private fund world. Are such trades illegal? No. In…

While the SEC moved full force in adopting Regulation Best Interest and Form CRS, state regulators were fairly silent on…

Form CRS, the sleeping giant, awakens! Investment advisers and broker dealers are turning their attention to planning for Form CRS,…

On January 7, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued its exam priorities for 2020 and reiterated…

As the June 30, 2020 compliance date for the SEC’s Regulation Best Interest (“Reg BI”) draws near, broker-dealers are scrambling…