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August 17, 2023
The SEC (U.S. Securities and Exchange Commission) has provided notice that it is preparing to adopt the so-called "Private Funds Rules" under the Investment Advisers Act of 1940...
August 17, 2023
The Securities and Exchange Commission (the “SEC”) proposed new rules under the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940 to address the risks to investors...
August 15, 2023
In a move to address the implications of integrating emerging technologies into the financial markets, the U.S. Securities and Exchange Commission (the “SEC”) recently proposed new...
August 2, 2023
The US Securities and Exchange Commission (SEC) proposed on July 26, 2023 new rules designed to address conflicts of interest from the use of predictive data analytics in “investor...
August 1, 2023
This report provides a snapshot of the U.S. Executive Branch priorities via daily schedules and the prior day's press releases.
July 26, 2023
Through the Looking Glass : Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers Proposal…
July 26, 2023
Statement on the Proposals re: Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers…
July 26, 2023
Statement on Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers Proposal Commissioner…