Ropes & Gray's Investment Management Update June – July 2023 - Wealth & Asset Management
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry.
Source: mondaq.com
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SEC Adopts Final Rules On Public Company Cybersecurity Disclosures - Security
On July 26, 2023, the Securities and Exchange Commission (the "SEC") voted 3–2 to adopt rules requiring public companies to disclose material cybersecurity incidents...
United States Exchange Act Rule Division Of Corporation Department Of Justice Exchange Commission Communications Commission
Source: mondaq.com
SEC takes on AI use by broker-dealers and investment advisers - Expansive coverage of types of technology and investor interaction in play | Eversheds Sutherland (US) LLP
In a Legal Alert issued before the SEC open meeting, we posed five questions that our Investment Services team would be looking out for as part of this meeting. We now have answers to...
White House District Of Columbia United States Securities Exchange Exchange Commission Investment Services
Source: jdsupra.com
SEC Adopts Final Rules on Public Company Cybersecurity Disclosures
On July 26, 2023, the Securities and Exchange Commission (the “SEC”) voted 3-2 to adopt rules requiring public companies to disclose material…
United States Exchange Act Or Rule Division Of Corporation Exchange Commission Final Rules Adopting Release
Source: lexology.com
Regulatory Update and Recent SEC Actions - July 2023 | Blank Rome LLP
REGULATORY UPDATES - Recent SEC Leadership Changes - The Securities and Exchange Commission (the “SEC”) announced the appointment of Deborah J. Jeffrey as...
Source: jdsupra.com
U.S. SEC Adopts Share Repurchase Disclosure Rules - Securities
On May 3, 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments to its rules that will require additional detail regarding the structure of share repurchase plans or programs...
Securities Exchange Exchange Act Rule Company Rule Exchange Commission Securities Exchange Act Exchange Act
Source: mondaq.com
With Specific Focus on Crypto, SEC Revisits Proposed "Exchange" Definition Changes | Perkins Coie
The U.S. Securities and Exchange Commission (the SEC or the Commission) voted on Friday, April 14, 2023, to reopen the comment period for previously proposed amendments to Rule 3b-16...
G Massad Howell Jackson Dietrich Knauth Gary Gensler Hannah Miller Kailey Leinz Simi Siwisa Steffen Kern Supreme Court Justice Thurgood Marshall
Source: jdsupra.com
U.S. SEC Adopts Share Repurchase Disclosure Rules | Morrison & Foerster LLP
On May 3, 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments to its rules that will require additional detail regarding the structure of share repurchase plans...
Exchange Act Rule Company Rule Morrison Foerster Morrison Foerster Llp Securities Exchange Exchange Commission
Source: jdsupra.com
SEC Adopts Amendments to Form PF for Private Equity Funds | Stinson LLP
On May 3, 2023, the Securities and Exchange Commission (SEC) voted to adopt certain amendments (Final Amendments) to Form PF reporting requirements. Form PF is a confidential,...
Financial Stability Oversight Council A Limited Partner Clawback Exchange Commission Final Amendments Led Secondary Transactions General Partner
Source: jdsupra.com
The "Safeguarding Proposal": A jurisdictional grab by the SEC over custodians | Eversheds Sutherland (US) LLP
On February 15, 2023, the US Securities and Exchange Commission (the SEC) proposed sweeping changes to Rule 206(4)-2 (the Custody Rule) under the Investment Advisers Act of 1940...
Exchange Commission Custody Services Office Of The Comptroller Eversheds Sutherland Custody Rule Investment Advisers Act
Source: jdsupra.com