January 24, 2025 Corporate Transparency Act Enforcement Remains On Hold August 6, 2024 FDIC Whipsaws Industry with Proposed Changes to Brokered Deposits Rules May 23, 2024 SEC Amends Regulation S-P to Require Data Breach Notifications and Additional Written Policies May 16, 2024 DOL Publishes Final Regulation Expanding the Definition of an ERISA Fiduciary April 4, 2024 Corporate Transparency Act: Best Practices Part 2 April 4, 2024 Corporate Transparency Act: Best Practices Part 1 April 4, 2024 FinCEN Reporting Requirements Under the Corporate Transparency Act: Guidance from the Business Transactions Group November 8, 2023 SEC Adopts Gross Short Position and Activity Reporting by Institutional Investment Managers October 18, 2023 SEC Adopts Amendments to Regulation 13D-G October 3, 2023 SEC Proposes Improvements to EDGAR Filer Access and Account Management October 3, 2023 SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers September 11, 2023 SEC Charges FinTech Investment Adviser with First Violation of the Marketing Rule and Additional Compliance Violations August 25, 2023 The SEC Adopts Final Rules Regarding the Regulation of Private Fund Advisers July 17, 2023 Expiration of SEC Staff’s No Action Letters Providing Relief to Broker-Dealers Regarding MiFID II Research Requirements January 17, 2023 New Omnibus Bill Codifies M&A Broker-Dealer SEC Registration Exemption Load more
