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February 19, 2022
Comments are due by March 21, 2022 on an SEC proposal to amend Form PF. The Form is used for reporting by certain SEC-registered investment advisers to private funds, and the SEC is proposing to amend its insider trading rules, particularly SEA Rule 10b5-1
February 7, 2022
The FSOC finalized interpretive guidance on its authority to require the supervision and regulation of certain nonbank financial companies, the Treasury examined aspects of the high-value art market that could present money laundering risks, and more.
February 5, 2022
CRS analyzed the 2007 market crash and the 2020 pandemic crash, and the authorities regulators relied upon to reduce systemic risk and avert market crashes, FinCEN extended comment period concerning potential Bank Secrecy Act information collection and more.
January 27, 2022
SEC proposed amendments to Form PF, the SEC proposed to expand the definition of exchange under SEA Rule 3b-16, federal executive Advisory on the risks associated with doing business in Burma, a firm settled FINRA charges for failure to establish AML policies, and more.
January 27, 2022
SEC proposed amendments to Form PF, the SEC proposed to expand the definition of exchange under SEA Rule 3b-16, federal executive Advisory on the risks associated with doing business in Burma, a firm settled FINRA charges for failure to establish AML policies, and more.