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SEC Settlement Highlights Continued Scrutiny of Off-Channel Communications | Lowenstein Sandler LLP

SEC Settlement Highlights Continued Scrutiny of Off-Channel Communications | Lowenstein Sandler LLP
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DTCC Shares Comments On Industry's Affirmation Progress, With T+1 Implementation Date Approaching

DTCC Shares Comments On Industry's Affirmation Progress, With T+1 Implementation Date Approaching
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DTCC Comments on Industry's Affirmation Progress, With T+1 Implementation Two Months Away

DTCC Comments on Industry's Affirmation Progress, With T+1 Implementation Two Months Away
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SEC Targets Certain Proprietary Trading Firms And Private Funds With Expanded

On Feb. 6, 2024, the US Securities and Exchange Commission ("SEC" or "Commission") adopted new Rules 3a5‑4 and 3a44‑2 (together, "Final Rules")...

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SEC Expands Definition of "Dealer" to Capture Liquidity Providers

SEC Expands Definition of "Dealer" to Capture Liquidity Providers
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The Sabarkantha Jilla Sahkari Dudh ... vs The Vasana (Khed) Dudh Utpadak Sahkari ... on 23 February, 2024

The Sabarkantha Jilla Sahkari Dudh ... vs The Vasana (Khed) Dudh Utpadak Sahkari ... on 23 February, 2024
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2024 Investment Adviser Compliance Calendar - Securities

SEC-registered investment advisers are subject to an array of reporting and compliance obligations in order to maintain registered investment adviser status.

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SEC Expands Dealer Definition To Capture Large Traders Regularly Providing Liquidity To The Markets - Securities

On February 6, 2024, the SEC adopted rules to greatly expand the Exchange Act definitions of "dealer" and "government securities dealer" by further defining the phrase "as a part of a regular business."

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Startups floundering during war turn to new emergency fund

Startups floundering during war turn to new emergency fund
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SEC Issues Updated Marketing Rule FAQ on IRRs for Funds With Subscription Facilities | Goodwin

On February 6, 2024, the staff of the Securities and Exchange Commission (SEC) issued an updated FAQ with respect to the Marketing Rule (Rule 206(4)-1) under the Investment Advisers Act...

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