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Statement On In the Matter of Bloomberg Finance, L.P., SEC Commissioner Hester M. Peirce, SEC Commissioner Mark T. Uyeda, Jan. 24, 2023

<p><span>The Commission’s settled enforcement action finds that Bloomberg Finance, L.P. (“Bloomberg”) violated Section 17(a)(2) of the Securities Act of 1933, which prohibits the use of materially false statements to obtain money or property in the offer or sale of securities.</span><a name=" ftnref1" href="https://www.sec.gov/news/statement/peirce-uyeda-statement-bloomberg-finance-012423# ftn1">[1]</a><span> Because we do not believe that the particular statements at issue were made in the offer or sale of securities, we do not support bringing this action.</span></p> ....

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Information…or Advice? SEC Regulation of "Information Providers" May Expand to Include Providers of Innovative Investment Analytics | Wilson Sonsini Goodrich & Rosati

In its recent Request for Comment on Certain Information Providers Acting as Investment Advisers (the Request for Comment), the U.S. Securities and Exchange Commission (SEC) asks. ....

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SEC Proposes to Require Registered Investment Advisers to Implement a Comprehensive Oversight Framework for Service Providers | Morrison & Foerster LLP

On October 26, 2022, the U.S. Securities and Exchange Commission (SEC) proposed new Rule 206(4)-11 (the “Vendor Oversight Rule” or the “Rule”) to prohibit investment advisers registered. ....

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SEC Reopens Comment Periods For Several Proposed Rules, Including Climate-Related Disclosures For Investors - Corporate Governance

On Friday, October 7, the Securities and Exchange Commission (SEC) reopened the public comment period for eleven proposed rules whose comment periods closed after March 21, 2022. ....

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Investment Management Update - October 2022 | Skadden, Arps, Slate, Meagher & Flom LLP

In this issue, we cover regulatory developments impacting the investment management sector, including the Securities and Exchange Commission’s (SEC’s) focus on the annual 15(c) advisory. ....

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