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S P Regulation SEC Revisits Innovation to Information Technology

SEC proposal to amend Regulation S P Privacy of Consumer Financial Information and Safeguarding Customer Information while simultaneously issuing two additional cybersecurity related rule proposals. SEC implements cybersecurity and privacy standards across regulated entities
Hesterm Peirce Exchange Act Release No Exchange Act Rel Consumer Financial Protection Bureau Regulation Exchange Commission Business Development Companies

The SEC Division of Examinations Announces 2023 Priorities, Including Key Areas for Registered Investment Advisers, Registered Investment Companies, and Broker-Dealers | K&L Gates LLP

On 7 February 2023, the Division of Examinations (the Division) of the U.S. Securities and Exchange Commission (SEC) announced its examination priorities for the 2023 fiscal year (the...
Neilt Smith Cliffordj Alexander Meghane Flinn Michaels Caccese Investment Company Senior Officers Nov Marketing Rule Panel

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SEC Division of Examinations 2023 Examination Priorities Released

Division of Examinations Securities and Exchange Commission SEC announced examination priorities for 2023 fiscal year. The Report identifies areas of focus for upcoming year highlights new rules applicable to registered investment advisers RIAs and investment companies.
Neilt Smith Cliffordj Alexander Meghane Flinn Michaels Caccese Investment Company Senior Officers Nov Marketing Rule Panel

Litigation Minute: Staying Informed of Government Enforcement Priorities and Trends (Cryptocurrency Litigation Series: Part Two of Four) | K&L Gates LLP

WHAT YOU NEED TO KNOW IN A MINUTE OR LESS - The uptick in government investigations and enforcement actions related to cryptocurrency industry participants is striking. The scope and...
Gary Gensler Exchange Commission Enforcement Division Crypto Assets Department Of Justice Kl Gates National Cryptocurrency Enforcement Team

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