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The SEC Amends the Internet Adviser Exemption | Goodwin

On March 27, 2024, the US Securities and Exchange Commission (SEC) adopted amendments to Rule 203A-2(e) of the Investment Advisers Act of 1940 (the Advisers Act) (the Internet Adviser. ....

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SEC Issues Risk Alert Related to Security Based Swap Dealers

SEC Issues Risk Alert Related to Security Based Swap Dealers
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Regulatory Update and Recent SEC Actions October 2023

Regulatory Update and Recent SEC Actions October 2023
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SEC Proposes Rules on Broker-Dealer and Investment Adviser Use of Predictive Data Analytics and on Internet Investment Adviser Registration

On July 26, 2023, the U.S. Securities and Exchange Commission ("SEC" or the "Commission") released two sets of rule proposals. First, the SEC… ....

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Exemption for Certain Investment Advisers Operating Through the Internet

Exemption for Certain Investment Advisers Operating Through the Internet Commissioner Hester M. Peirce July 26, 2023 ....

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