SEC Adopts Amendments to Expand the Requirements of Regulation S-P for Registered Investment Advisers and Broker-Dealers | Dorsey & Whitney LLP jdsupra.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from jdsupra.com Daily Mail and Mail on Sunday newspapers.
On May 16, 2024, the Securities and Exchange Commission (SEC) adopted final amendments to Regulation S-P, one year after issuing the proposed amendments.
On May 16, 2024, the Securities and Exchange Commission (SEC) adopted final amendments to Regulation S-P, one year after issuing the proposed amendments (discussed here). Regulation S-P.
On May 6, 2024, the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, the Federal Housing Finance Agency and National Credit Union Administration reproposed a joint rule to regulate incentive-based compensation paid by certain financial services firms.