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You Made the List: SEC's Spring Agenda Would Impact Broker-Dealers | Faegre Drinker Biddle & Reath LLP - Vimarsana News

You Made the List: SEC's Spring Agenda Would Impact Broker-Dealers | Faegre Drinker Biddle & Reath LLP

The SEC’s Office of Information and Regulatory Affairs recently released the Spring 2023 Unified Agenda of Regulatory and Deregulatory Actions (the Agenda). The word salad of a title...

Daily Financial Regulation Update -- Tuesday, May 9, 2023 | Paul Hastings LLP - Vimarsana News

Daily Financial Regulation Update -- Tuesday, May 9, 2023 | Paul Hastings LLP

May 8, 2023- U.S. Senator Time Scott (R-S.C.), Ranking Member of the Senate Committee on Banking, Housing, and Urban Affairs, sent a letter to the Federal Housing Finance Agency ...

SEC Proposes Radical Transformation of Custody Rule Into New Safeguarding Rule | Goodwin - Vimarsana News

SEC Proposes Radical Transformation of Custody Rule Into New Safeguarding Rule | Goodwin

On February 15, 2023, the Securities and Exchange Commission (the “SEC”) proposed a significant transformation of Rule 206(4)-2 (the “Custody Rule”) under the Investment Advisers Act of...